| GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED | RO | Advising on securities | 2017-11-09 | - |
| RO | Dealing in securities | 2017-05-10 | - |
| GUOYUAN FUTURES (HONG KONG) LIMITED | RO | Advising on futures contracts | 2016-08-26 | - |
| RO | Dealing in futures contracts | 2016-08-26 | - |
| Rep | Advising on futures contracts | 2016-06-29 | 2016-08-26 |
| Rep | Dealing in futures contracts | 2016-06-29 | 2016-08-26 |
| GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED | Rep | Dealing in securities | 2016-06-29 | 2017-05-10 |
| CES Capital International (Hong Kong) Co., Limited | RO | Advising on futures contracts | 2012-09-24 | 2016-05-20 |
| RO | Dealing in futures contracts | 2011-08-22 | 2016-05-20 |
| Rep | Leveraged foreign exchange trading | 2009-11-19 | 2016-05-20 |
| Rep | Dealing in securities | 2009-07-13 | 2016-05-20 |
| Rep | Dealing in futures contracts | 2009-04-15 | 2011-08-22 |
| JINRUI FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-06-24 | 2009-04-11 |