| TD Ameritrade Hong Kong Limited | Rep | Dealing in futures contracts | 2017-11-14 | 2018-09-21 |
| Rep | Dealing in securities | 2017-11-14 | 2018-09-21 |
| BLUESTONE SECURITIES (HK) CO., LIMITED | Rep | Dealing in securities | 2016-08-17 | 2016-08-18 |
| QMIS Securities Limited | Rep | Dealing in securities | 2016-07-27 | 2016-08-07 |
| CHIEF COMMODITIES LIMITED | Rep | Dealing in futures contracts | 2008-09-24 | 2016-06-08 |
| CHIEF SECURITIES LIMITED | Rep | Dealing in securities | 2008-09-24 | 2016-06-08 |
| KGI ASIA LIMITED | Rep | Dealing in securities | 2008-02-26 | 2008-08-16 |
| KGI FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-02-26 | 2008-08-16 |
| KGI SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2008-02-26 | 2008-08-16 |
| CELESTIAL COMMODITIES LIMITED | Rep | Dealing in futures contracts | 2006-01-20 | 2008-02-18 |
| CELESTIAL SECURITIES LIMITED | Rep | Dealing in securities | 2006-01-20 | 2008-02-18 |
| SINO-RICH SECURITIES & FUTURES LIMITED | Rep | Dealing in securities | 2005-04-12 | 2005-06-20 |
| BOCI COMMODITIES & FUTURES LIMITED | Rep | Dealing in futures contracts | 2004-05-03 | 2004-07-27 |
| BOCI SECURITIES LIMITED | Rep | Dealing in securities | 2004-05-03 | 2004-07-27 |
| Tung Shing Securities (Brokers) Limited | Rep | Dealing in securities | 2004-03-25 | 2004-04-14 |