| BOCI SECURITIES LIMITED | Rep | Leveraged foreign exchange trading | 2013-08-02 | 2014-11-21 |
| Rep | Dealing in futures contracts | 2009-12-03 | 2017-01-01 |
| Rep | Dealing in securities | 2009-12-03 | 2017-01-01 |
| DBS VICKERS (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2007-01-10 | 2009-12-01 |
| Rep | Dealing in securities | 2007-01-10 | 2009-12-01 |
| BOCI SECURITIES LIMITED | Rep | Dealing in futures contracts | 2005-10-13 | 2006-12-15 |
| BOCI COMMODITIES & FUTURES LIMITED | Rep | Dealing in futures contracts | 2005-06-17 | 2006-12-15 |
| BOCI SECURITIES LIMITED | Rep | Dealing in securities | 2005-05-09 | 2006-12-15 |
| HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Providing automated trading services | - | 2003-09-02 |
| Rep | Advising on corporate finance | - | 2004-08-05 |
| Rep | Advising on securities | - | 2004-08-05 |
| Rep | Asset management | - | 2004-08-05 |
| Rep | Dealing in securities | - | 2005-05-03 |
| HSBC BROKING SECURITIES (HONG KONG) LIMITED | Rep | Advising on corporate finance | - | 2004-08-05 |
| Rep | Advising on securities | - | 2004-08-05 |
| Rep | Asset management | - | 2004-08-05 |
| Rep | Dealing in securities | - | 2005-05-04 |