| ZHONGTAI INTERNATIONAL SECURITIES LIMITED | RO | Advising on securities | 2020-06-16 | 2020-11-29 |
| RO | Dealing in securities | 2016-12-28 | 2020-11-29 |
| ZHONGTAI INTERNATIONAL FUTURES LIMITED | RO | Dealing in futures contracts | 2014-03-24 | 2020-11-29 |
| Rep | Dealing in futures contracts | 2014-01-21 | 2014-03-24 |
| ZHONGTAI INTERNATIONAL SECURITIES LIMITED | Rep | Dealing in securities | 2014-01-21 | 2016-12-28 |
| Changjiang Securities Brokerage (HK) Limited | Rep | Dealing in securities | 2013-02-15 | 2013-12-15 |
| Changjiang Futures (HK) Limited | RO | Advising on futures contracts | 2012-02-13 | 2013-12-15 |
| RO | Dealing in futures contracts | 2012-02-13 | 2013-12-15 |
| ADMIS Hong Kong Limited | Rep | Leveraged foreign exchange trading | 2011-08-03 | 2011-10-18 |
| REFCO FOREX LIMITED | Rep | Leveraged foreign exchange trading | 2004-05-07 | 2006-02-10 |
| ADMIS Hong Kong Limited | Rep | Asset management | - | 2004-05-06 |
| Rep | Advising on futures contracts | - | 2005-04-12 |
| Rep | Dealing in futures contracts | - | 2011-10-18 |