| ORIENT FUTURES (HONG KONG) LIMITED | RO | Dealing in futures contracts | 2016-08-26 | - |
| ORIENT SECURITIES (HONG KONG) LIMITED | RO | Dealing in securities | 2016-08-26 | - |
| ORIENT FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2011-03-25 | 2016-08-26 |
| ORIENT SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2010-08-27 | 2016-08-26 |
| CNI Securities Group Limited | Rep | Dealing in securities | 2010-01-21 | 2010-08-13 |
| GBS INTERNATIONAL FINANCIAL LIMITED | Rep | Dealing in futures contracts | 2009-06-19 | 2010-08-13 |
| WING FUNG FINTECH LIMITED | Rep | Leveraged foreign exchange trading | 2009-02-26 | 2009-04-30 |
| WING FUNG FUTURES LIMITED | Rep | Dealing in futures contracts | 2007-01-11 | 2009-04-30 |
| WING FUNG SECURITIES LIMITED | Rep | Dealing in securities | 2007-01-11 | 2009-04-30 |