| J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2018-02-12 | 2018-02-13 |
| Rep | Dealing in futures contracts | 2018-02-12 | 2018-02-13 |
| Rep | Advising on futures contracts | 2017-10-19 | 2017-10-20 |
| Rep | Dealing in futures contracts | 2017-10-19 | 2017-10-20 |
| RO | Advising on securities | 2004-12-15 | 2014-10-31 |
| RO | Dealing in securities | 2004-12-15 | 2014-10-31 |
| RO | Advising on futures contracts | 2003-12-06 | 2014-10-31 |
| RO | Dealing in futures contracts | 2003-12-06 | 2014-10-31 |
| J.P. MORGAN FUTURES HONG KONG LIMITED | RO | Advising on futures contracts | 2003-06-25 | 2003-12-08 |
| RO | Providing automated trading services | 2003-06-25 | 2003-12-08 |
| RO | Dealing in futures contracts | 2003-06-25 | 2003-12-08 |
| Rep | Asset management | - | 2003-06-19 |
| Rep | Advising on futures contracts | - | 2003-06-25 |
| Rep | Providing automated trading services | - | 2003-06-25 |
| Rep | Dealing in futures contracts | - | 2003-06-25 |