| Rich Bay Securities Limited | RO | Advising on futures contracts | 2020-09-14 | 2021-12-31 |
| RO | Advising on securities | 2020-09-14 | 2021-12-31 |
| Rep | Advising on futures contracts | 2020-08-05 | 2020-09-14 |
| Rep | Advising on securities | 2020-08-05 | 2020-09-14 |
| RO | Dealing in futures contracts | 2020-08-05 | 2021-12-31 |
| RO | Dealing in securities | 2020-08-05 | 2021-12-31 |
| Rep | Dealing in futures contracts | 2020-07-24 | 2020-08-05 |
| Rep | Dealing in securities | 2020-07-24 | 2020-08-05 |
| Saxo Capital Markets HK Limited | RO | Leveraged foreign exchange trading | 2018-11-14 | 2020-02-12 |
| RO | Dealing in securities | 2015-10-06 | 2020-02-12 |
| RO | Dealing in futures contracts | 2015-05-18 | 2020-02-12 |
| Rep | Leveraged foreign exchange trading | 2013-03-27 | 2018-11-14 |
| Rep | Dealing in futures contracts | 2012-06-11 | 2015-05-18 |
| Rep | Leveraged foreign exchange trading | 2012-04-03 | 2012-11-03 |
| Rep | Dealing in securities | 2012-04-03 | 2015-10-06 |
| Rakuten Securities Hong Kong Limited | Rep | Leveraged foreign exchange trading | 2007-01-31 | 2007-12-30 |