| Ark Securities (Hong Kong) Limited | Rep | Asset management | 2011-07-25 | 2012-08-25 |
| RO | Advising on securities | 2010-11-17 | 2012-08-25 |
| PROVIDENT FUTURES (HONG KONG) LIMITED | RO | Advising on futures contracts | 2010-11-17 | 2012-08-25 |
| Ark Securities (Hong Kong) Limited | RO | Dealing in securities | 2010-05-31 | 2012-08-25 |
| PROVIDENT FUTURES (HONG KONG) LIMITED | RO | Dealing in futures contracts | 2010-05-31 | 2012-08-25 |
| Ark Securities (Hong Kong) Limited | Rep | Dealing in securities | 2010-03-09 | 2010-05-31 |
| PROVIDENT FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2010-03-09 | 2010-05-31 |
| Yuanta Asia Investment (Hong Kong) Limited | Rep | Dealing in futures contracts | 2009-02-06 | 2009-09-04 |
| Rep | Dealing in securities | 2009-02-06 | 2009-09-04 |
| Rep | Leveraged foreign exchange trading | 2009-02-06 | 2009-09-04 |
| CES Forex (HK) Limited | Rep | Leveraged foreign exchange trading | 2007-02-05 | 2009-01-16 |
| SHUN LOONG FOREX COMPANY LIMITED | Rep | Leveraged foreign exchange trading | 2007-02-05 | 2009-01-16 |
| CES Commodities (HK) Limited | Rep | Dealing in futures contracts | 2006-04-28 | 2009-01-16 |
| SHUN LOONG FUTURES LIMITED | Rep | Dealing in futures contracts | 2006-04-28 | 2009-01-16 |
| Everbright Securities Investment Services (HK) Limited | Rep | Dealing in securities | 2006-02-03 | 2009-01-16 |
| SHUN LOONG CAPITAL LIMITED | Rep | Advising on corporate finance | 2004-05-28 | 2005-03-31 |
| SHUN LOONG SECURITIES COMPANY LIMITED | Rep | Advising on corporate finance | 2003-10-21 | 2004-05-28 |
| Rep | Advising on securities | 2003-10-21 | 2004-08-19 |
| Rep | Dealing in securities | 2003-10-21 | 2009-01-16 |
| BOCOM International Holdings Company Limited | Rep | Asset management | - | 2003-06-03 |
| Rep | Providing automated trading services | - | 2003-09-08 |
| Rep | Advising on corporate finance | - | 2003-10-09 |
| Rep | Advising on securities | - | 2003-10-09 |
| Rep | Dealing in securities | - | 2003-10-09 |