| CNI Global Assets Management Limited (HK) | RO | Asset management | 2018-08-17 | 2020-09-04 |
| CNI Securities Group Limited | RO | Advising on securities | 2014-05-13 | 2020-09-04 |
| RO | Dealing in futures contracts | 2011-06-28 | 2020-09-04 |
| RO | Dealing in securities | 2011-03-09 | 2020-09-04 |
| ORIENTAL WEALTH FUTURES LIMITED | Rep | Dealing in futures contracts | 2011-01-19 | 2011-02-08 |
| ORIENTAL WEALTH SECURITIES LIMITED | Rep | Dealing in securities | 2011-01-19 | 2011-02-08 |
| RO | Dealing in securities | 2010-07-26 | 2011-01-19 |
| ORIENTAL WEALTH FUTURES LIMITED | RO | Dealing in futures contracts | 2010-03-18 | 2011-01-19 |
| Rep | Dealing in futures contracts | 2009-12-22 | 2010-03-18 |
| ORIENTAL WEALTH SECURITIES LIMITED | Rep | Dealing in securities | 2009-12-22 | 2010-07-26 |
| ONE CHINA SECURITIES LIMITED | RO | Dealing in futures contracts | 2007-06-25 | 2008-09-16 |
| Rep | Dealing in securities | 2007-06-25 | 2008-09-16 |
| BOCI COMMODITIES & FUTURES LIMITED | Rep | Dealing in futures contracts | 2004-02-10 | 2005-10-03 |
| BOCI SECURITIES LIMITED | Rep | Dealing in securities | 2004-02-10 | 2005-10-03 |
| CES Commodities (HK) Limited | Rep | Dealing in futures contracts | 2003-12-10 | 2004-01-13 |
| Everbright Securities Investment Services (HK) Limited | Rep | Dealing in securities | 2003-12-10 | 2004-01-13 |
| CITIC Securities Futures (HK) Limited | RO | Dealing in futures contracts | - | 2003-09-30 |