| HSBC BROKING FOREX (ASIA) LIMITED | Rep | Leveraged foreign exchange trading | 2017-10-12 | 2019-01-30 |
| HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2017-08-17 | 2019-01-30 |
| HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Advising on securities | 2017-08-17 | 2019-01-30 |
| Rep | Dealing in securities | 2017-08-17 | 2019-01-30 |
| CHINA MERCHANTS FUTURES (HK) CO., LIMITED | Rep | Advising on futures contracts | 2013-11-12 | 2015-06-08 |
| Rep | Dealing in futures contracts | 2013-11-12 | 2015-06-08 |
| Brilliant Norton Securities Company Limited | Rep | Advising on securities | 2012-02-01 | 2013-02-28 |
| Rep | Dealing in securities | 2012-02-01 | 2013-02-28 |