| CHIEF COMMODITIES LIMITED | Rep | Dealing in futures contracts | 2018-06-13 | 2018-06-26 |
| CHIEF SECURITIES LIMITED | Rep | Dealing in securities | 2018-06-13 | 2018-06-26 |
| WING FUNG FINTECH LIMITED | Rep | Leveraged foreign exchange trading | 2012-05-02 | 2018-05-29 |
| WING FUNG FUTURES LIMITED | Rep | Dealing in futures contracts | 2012-05-02 | 2018-05-29 |
| WING FUNG SECURITIES LIMITED | Rep | Dealing in securities | 2012-05-02 | 2018-05-29 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Leveraged foreign exchange trading | 2009-06-02 | 2012-03-30 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2008-08-13 | 2012-03-30 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2008-08-13 | 2012-03-30 |