| SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED | Rep | Advising on futures contracts | 2020-05-08 | 2020-09-13 |
| Rep | Advising on securities | 2020-05-08 | 2020-09-13 |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2019-03-06 | 2020-03-26 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2019-03-06 | 2020-03-26 |
| HGNH International Forex Co., Limited | Rep | Leveraged foreign exchange trading | 2018-01-30 | 2019-02-28 |
| HGNH International Futures Co., Limited | Rep | Dealing in futures contracts | 2018-01-30 | 2019-02-28 |
| HGNH International Securities Co., Limited | Rep | Dealing in securities | 2018-01-30 | 2019-02-28 |