| GUOTAI JUNAN FUTURES (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2019-06-28 | - |
| GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | Rep | Advising on securities | 2019-06-28 | - |
| GUOTAI JUNAN FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2019-05-28 | - |
| GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2019-05-28 | - |
| CHINA MERCHANTS FUTURES (HK) CO., LIMITED | Rep | Dealing in futures contracts | 2016-10-28 | 2019-04-30 |
| CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | Dealing in securities | 2016-10-28 | 2019-04-30 |
| ZHONGTAI INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2015-02-13 | 2016-09-16 |
| ZHONGTAI INTERNATIONAL SECURITIES LIMITED | Rep | Dealing in securities | 2015-02-13 | 2016-09-16 |
| BOCI SECURITIES LIMITED | Rep | Leveraged foreign exchange trading | 2011-05-30 | 2013-04-12 |
| Rep | Dealing in futures contracts | 2006-01-04 | 2013-04-12 |
| Rep | Dealing in securities | 2006-01-04 | 2013-04-12 |
| HSBC BROKING FOREX (ASIA) LIMITED | Rep | Leveraged foreign exchange trading | 2005-08-08 | 2005-10-03 |
| HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2005-05-12 | 2005-10-03 |
| HSBC BROKING FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2005-05-12 | 2005-10-03 |
| HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2005-05-12 | 2005-10-03 |
| KARL THOMSON INVESTMENT CONSULTANTS LIMITED | Rep | Advising on securities | 2004-05-31 | 2005-05-03 |