| China Galaxy International Futures (Hong Kong) Co., Limited | RO | Dealing in futures contracts | 2021-04-26 | - |
| China Galaxy International Securities (Hong Kong) Co., Limited | RO | Dealing in securities | 2020-10-12 | - |
| China Galaxy International Futures (Hong Kong) Co., Limited | Rep | Dealing in futures contracts | 2018-06-05 | 2021-04-26 |
| China Galaxy International Securities (Hong Kong) Co., Limited | RO | Advising on securities | 2016-11-03 | - |
| China Galaxy International Asset Management (Hong Kong) Co., Limited | Rep | Asset management | 2016-09-27 | 2020-08-17 |
| China Galaxy International Securities (Hong Kong) Co., Limited | Rep | Advising on securities | 2016-09-27 | 2016-11-03 |
| Rep | Dealing in securities | 2016-09-27 | 2020-10-12 |
| Quam Securities Limited | RO | Advising on securities | 2016-02-15 | 2016-05-31 |
| Rep | Asset management | 2016-02-15 | 2016-05-31 |
| Rep | Dealing in futures contracts | 2016-02-15 | 2016-05-31 |
| Rep | Dealing in securities | 2016-02-15 | 2016-05-31 |
| GALAXY ASSET MANAGEMENT (H.K.) LIMITED | Rep | Advising on futures contracts | 2007-11-06 | 2014-10-09 |
| Rep | Asset management | 2007-11-06 | 2014-10-09 |
| Rep | Advising on securities | 2007-10-04 | 2014-10-09 |
| PIPER JAFFRAY ASIA LIMITED | Rep | Advising on corporate finance | 2004-12-07 | 2007-09-15 |
| PIPER JAFFRAY ASIA SECURITIES LIMITED | Rep | Advising on securities | 2004-12-07 | 2007-09-15 |
| Rep | Advising on corporate finance | 2003-12-22 | 2005-02-14 |
| Rep | Dealing in securities | 2003-12-22 | 2007-09-15 |
| Polaris Capital (Asia) Limited | Rep | Advising on corporate finance | 2003-04-01 | 2003-12-08 |
| Rep | Dealing in securities | 2003-04-01 | 2003-12-08 |