| GUOTAI JUNAN FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2020-12-17 | - |
| GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2020-12-17 | - |
| GUOTAI JUNAN FUTURES (HONG KONG) LIMITED | RO | Dealing in futures contracts | 2019-01-21 | 2020-12-17 |
| GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | RO | Dealing in securities | 2019-01-21 | 2020-12-17 |
| GUOTAI JUNAN FUTURES (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2018-10-05 | - |
| Guotai Junan FX Limited | Rep | Leveraged foreign exchange trading | 2018-10-05 | - |
| GUOTAI JUNAN FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2018-07-20 | 2019-01-21 |
| GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | Rep | Advising on securities | 2018-07-20 | - |
| Rep | Dealing in securities | 2018-07-20 | 2019-01-21 |
| BOCI SECURITIES LIMITED | Rep | Leveraged foreign exchange trading | 2011-08-18 | 2015-02-13 |
| Rep | Dealing in futures contracts | 2009-03-16 | 2018-01-22 |
| Rep | Advising on securities | 2008-05-30 | 2018-01-22 |
| Rep | Dealing in securities | 2008-05-30 | 2018-01-22 |