| CFTC ASSET MANAGEMENT (HONG KONG) LIMITED | RO | Advising on securities | 2023-02-17 | - |
| RO | Asset management | 2023-02-17 | - |
| Rockflow Securities Limited | RO | Advising on securities | 2019-04-04 | 2022-06-30 |
| RO | Asset management | 2018-08-24 | 2022-06-30 |
| RO | Dealing in securities | 2018-08-24 | 2022-06-30 |
| Rep | Dealing in securities | 2018-07-26 | 2018-08-24 |
| FIRST SHANGHAI SECURITIES LIMITED | Rep | Advising on corporate finance | 2017-03-30 | 2018-07-07 |
| FIRST SHANGHAI FUTURES LIMITED | Rep | Dealing in futures contracts | 2009-09-03 | 2015-10-14 |
| FIRST SHANGHAI SECURITIES LIMITED | Rep | Dealing in securities | 2009-09-03 | 2018-07-07 |
| PRUDENTIAL INDEX TRADING COMPANY LIMITED | Rep | Dealing in futures contracts | 2008-03-25 | 2009-08-31 |
| PRUDENTIAL BROKERAGE LIMITED | Rep | Dealing in securities | 2007-09-03 | 2009-08-31 |