| BOCI SECURITIES LIMITED | Rep | Advising on securities | 2018-09-06 | - |
| Rep | Leveraged foreign exchange trading | 2011-07-20 | 2014-11-27 |
| Rep | Dealing in futures contracts | 2006-12-13 | - |
| Rep | Dealing in securities | 2006-12-13 | - |
| TIS SECURITIES (HK) LIMITED | Rep | Dealing in futures contracts | 2006-03-16 | 2006-11-23 |
| Rep | Dealing in securities | 2006-03-16 | 2006-11-23 |
| BOCI COMMODITIES & FUTURES LIMITED | Rep | Dealing in futures contracts | 2004-06-30 | 2005-07-28 |
| BOCI SECURITIES LIMITED | Rep | Dealing in securities | 2004-06-30 | 2005-07-28 |
| BNP PARIBAS PEREGRINE FUTURES LIMITED | Rep | Advising on futures contracts | 2003-04-01 | 2004-03-19 |
| Rep | Asset management | 2003-04-01 | 2004-03-19 |
| Rep | Dealing in futures contracts | 2003-04-01 | 2004-03-19 |
| BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Advising on corporate finance | 2003-04-01 | 2004-03-19 |
| Rep | Advising on securities | 2003-04-01 | 2004-03-19 |
| Rep | Asset management | 2003-04-01 | 2004-03-19 |
| Rep | Dealing in securities | 2003-04-01 | 2004-03-19 |