| Kai Yin Securities Limited | Rep | Advising on securities | 2018-09-14 | 2019-06-10 |
| Rep | Dealing in futures contracts | 2018-09-14 | 2019-06-10 |
| Rep | Dealing in securities | 2018-09-14 | 2019-06-10 |
| CENTRAL WEALTH FUTURES LIMITED | Rep | Dealing in futures contracts | 2017-08-01 | 2018-03-19 |
| CENTRAL WEALTH SECURITIES INVESTMENT LIMITED | Rep | Advising on securities | 2017-08-01 | 2018-03-19 |
| Rep | Dealing in securities | 2017-08-01 | 2018-03-19 |
| Amber Hill Asset Management Limited | Rep | Advising on securities | 2017-01-04 | 2017-07-19 |
| Rep | Asset management | 2017-01-04 | 2017-07-19 |
| AIF Securities Limited | Rep | Dealing in securities | 2016-12-01 | 2017-07-19 |
| Azure Lion International Securities Company Limited | Rep | Dealing in securities | 2015-09-22 | 2016-09-21 |
| Zhonghao International Futures Co., Limited | Rep | Dealing in futures contracts | 2015-08-25 | 2016-09-21 |
| Holly International Financial Holdings Limited | Rep | Dealing in futures contracts | 2015-03-06 | 2015-08-14 |
| LONGRUN FINANCIAL GROUP LIMITED | Rep | Dealing in futures contracts | 2014-12-10 | 2015-02-28 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | Dealing in futures contracts | 2014-04-24 | 2014-12-01 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2014-04-24 | 2014-12-01 |
| CHONG HING SECURITIES LIMITED | Rep | Dealing in securities | 2013-04-17 | 2014-04-12 |
| BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED | Rep | Dealing in securities | 2011-06-03 | 2012-11-22 |