| SDIC SECURITIES (HONG KONG) LIMITED | RO | Dealing in securities | 2014-06-23 | - |
| Rep | Dealing in securities | 2010-11-17 | 2014-06-23 |
| SDIC SECURITIES FUTURES (HONG KONG) LIMITED | RO | Advising on futures contracts | 2010-10-25 | - |
| RO | Dealing in futures contracts | 2010-10-25 | - |
| SDIC Securities International Financial Holdings Limited | Rep | Dealing in securities | 2010-08-09 | 2014-09-15 |
| SOUTH CHINA COMMODITIES LIMITED | Rep | Dealing in futures contracts | 2009-05-25 | 2010-07-31 |
| SOUTH CHINA SECURITIES LIMITED | Rep | Dealing in securities | 2009-04-15 | 2010-07-31 |
| CHI CAPITAL SECURITIES LIMITED | RO | Advising on securities | 2008-04-22 | 2009-04-07 |
| RO | Dealing in securities | 2008-04-22 | 2009-04-07 |
| ETRADE SECURITIES (HONG KONG) LIMITED | RO | Dealing in futures contracts | 2005-12-20 | 2007-03-09 |
| Rep | Leveraged foreign exchange trading | 2004-04-02 | 2007-03-09 |
| Rep | Advising on securities | 2003-10-23 | 2007-03-09 |
| Rep | Dealing in securities | 2003-10-23 | 2007-03-09 |
| ETRADE SECURITIES LIMITED | Rep | Advising on securities | 2003-10-23 | 2007-03-09 |
| Rep | Dealing in securities | 2003-10-23 | 2007-03-09 |