| FOUNDER FUTURES (HONG KONG) LIMITED | RO | Dealing in futures contracts | 2019-01-07 | 2019-04-01 |
| FOUNDER SECURITIES (HONG KONG) LIMITED | RO | Dealing in securities | 2019-01-07 | 2019-04-01 |
| FOUNDER FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2018-11-05 | 2019-01-07 |
| FOUNDER SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2018-11-05 | 2019-01-07 |
| GF FUTURES (HONG KONG) CO., LIMITED | Rep | Dealing in futures contracts | 2018-07-31 | 2018-09-12 |
| GF Securities (Hong Kong) Brokerage Limited | Rep | Dealing in securities | 2018-07-31 | 2018-09-12 |
| ZHONGTAI INTERNATIONAL SECURITIES LIMITED | Rep | Advising on securities | 2017-02-22 | 2017-09-04 |
| ZHONGTAI INTERNATIONAL FUTURES LIMITED | RO | Dealing in futures contracts | 2016-12-12 | 2017-09-04 |
| ZHONGTAI INTERNATIONAL SECURITIES LIMITED | RO | Dealing in securities | 2016-12-12 | 2017-09-04 |
| ZHONGTAI INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2016-09-09 | 2016-12-12 |
| ZHONGTAI INTERNATIONAL SECURITIES LIMITED | Rep | Dealing in securities | 2016-09-09 | 2016-12-12 |
| ORIENT FUTURES (HONG KONG) LIMITED | RO | Dealing in futures contracts | 2014-10-21 | 2016-08-22 |
| ORIENT SECURITIES (HONG KONG) LIMITED | RO | Dealing in securities | 2014-10-21 | 2016-08-22 |
| ORIENT FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2014-08-25 | 2014-10-21 |
| ORIENT SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2014-08-25 | 2014-10-21 |
| CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | RO | Dealing in securities | 2008-04-24 | 2014-08-04 |
| CHINA MERCHANTS FUTURES (HK) CO., LIMITED | Rep | Dealing in futures contracts | 2007-05-31 | 2014-08-04 |
| CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | Dealing in securities | 2007-05-31 | 2008-04-24 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | Dealing in futures contracts | 2005-05-03 | 2007-05-26 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2005-05-03 | 2007-05-26 |
| CINDA INTERNATIONAL INVESTMENT MANAGEMENT LIMITED | Rep | Leveraged foreign exchange trading | - | 2003-07-24 |