| Wealth Link Securities Limited | RO | Advising on securities | 2017-04-06 | 2021-06-30 |
| RO | Dealing in securities | 2017-01-09 | 2021-06-30 |
| Rep | Dealing in securities | 2016-12-20 | 2017-01-09 |
| MANGO FINANCIAL LIMITED | Rep | Advising on corporate finance | 2016-04-19 | 2016-11-01 |
| RO | Advising on securities | 2015-07-20 | 2016-11-01 |
| Rep | Asset management | 2015-07-20 | 2016-11-01 |
| RO | Dealing in securities | 2015-05-20 | 2016-11-01 |
| Rep | Dealing in securities | 2015-05-04 | 2015-05-20 |
| CHINA FINANCE HOLDINGS LIMITED | RO | Dealing in securities | 2014-10-30 | 2015-04-30 |
| Finet Securities Limited | RO | Dealing in futures contracts | 2014-10-30 | 2015-04-30 |
| RO | Dealing in securities | 2014-10-30 | 2015-04-30 |
| BERICH BROKERAGE LIMITED | RO | Dealing in securities | 2010-11-22 | 2014-10-20 |
| BERICH FUTURES (H.K.) COMPANY LIMITED | RO | Dealing in futures contracts | 2010-07-08 | 2014-10-20 |
| Rep | Dealing in futures contracts | 2008-12-04 | 2010-07-08 |
| BERICH BROKERAGE LIMITED | Rep | Dealing in securities | 2007-08-29 | 2010-11-22 |
| EAST ASIA SECURITIES COMPANY LIMITED | Rep | Advising on corporate finance | - | 2003-06-01 |
| Rep | Advising on securities | - | 2003-06-01 |
| Rep | Asset management | - | 2003-06-01 |
| Rep | Providing automated trading services | - | 2003-06-01 |
| Rep | Dealing in securities | - | 2003-06-01 |