| BOCI SECURITIES LIMITED | RO | Advising on futures contracts | 2023-12-11 | 2024-11-29 |
| RO | Advising on securities | 2023-12-11 | 2024-11-29 |
| RO | Dealing in futures contracts | 2023-12-11 | 2024-11-29 |
| RO | Dealing in securities | 2023-12-11 | 2024-11-29 |
| Rep | Advising on futures contracts | 2022-05-13 | 2023-12-11 |
| Rep | Advising on securities | 2022-05-13 | 2023-12-11 |
| Rep | Dealing in futures contracts | 2022-05-13 | 2023-12-11 |
| Rep | Dealing in securities | 2022-05-13 | 2023-12-11 |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | RO | Dealing in futures contracts | 2019-12-04 | 2021-11-19 |
| SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED | RO | Advising on futures contracts | 2019-12-04 | 2021-11-19 |
| RO | Advising on securities | 2019-12-04 | 2021-11-19 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | RO | Dealing in securities | 2019-12-04 | 2021-11-19 |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2019-08-08 | 2019-12-04 |
| SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED | Rep | Advising on futures contracts | 2019-08-08 | 2019-12-04 |
| Rep | Advising on securities | 2019-08-08 | 2019-12-04 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2019-08-08 | 2019-12-04 |
| SUN GROWTH SECURITIES LIMITED | RO | Advising on securities | 2019-01-07 | 2019-06-30 |
| Sun Growth Asset Management Limited | RO | Advising on securities | 2018-07-25 | 2019-06-30 |
| RO | Asset management | 2018-07-25 | 2019-06-30 |
| Sun Growth Futures Limited | RO | Dealing in futures contracts | 2018-07-25 | 2019-04-16 |
| SUN GROWTH SECURITIES LIMITED | RO | Dealing in securities | 2017-09-27 | 2019-06-30 |
| Rep | Dealing in securities | 2017-07-26 | 2017-09-27 |
| ZHONG ZHENG INTERNATIONAL FUTURES LIMITED | RO | Dealing in futures contracts | 2017-04-25 | 2017-06-23 |
| Mason Securities Limited | RO | Asset management | 2016-12-08 | 2017-06-23 |
| THOMAS GLOBAL FINANCIAL SERVICES LIMITED | RO | Dealing in securities | 2016-12-01 | 2017-06-23 |
| Mason Securities Limited | RO | Advising on securities | 2016-01-13 | 2017-06-23 |
| RO | Dealing in securities | 2016-01-13 | 2017-06-23 |
| Rep | Advising on securities | 2014-12-03 | 2016-01-13 |
| Rep | Dealing in securities | 2014-12-03 | 2016-01-13 |
| ZHONG ZHENG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2014-12-03 | 2017-04-25 |
| BARCLAYS CAPITAL ASIA LIMITED | Rep | Advising on securities | 2009-05-13 | 2012-10-19 |
| Rep | Dealing in securities | 2009-05-13 | 2012-10-19 |
| HSBC STRUCTURED FUNDS (ASIA) LIMITED | Rep | Asset management | 2006-08-15 | 2007-07-01 |
| Rep | Advising on securities | 2006-08-15 | 2009-03-28 |
| HSBC SECURITIES BROKERS (ASIA) LIMITED | Rep | Dealing in securities | 2006-05-24 | 2009-03-28 |