| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2020-09-01 | - |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2020-09-01 | - |
| HAITONG INTERNATIONAL FUTURES LIMITED | RO | Dealing in futures contracts | 2020-02-14 | 2020-09-01 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | RO | Dealing in securities | 2020-02-14 | 2020-09-01 |
| Bright Point International Futures Limited | RO | Dealing in futures contracts | 2017-07-21 | 2019-06-04 |
| Bright Point International Securities Limited | RO | Dealing in securities | 2017-07-21 | 2019-06-04 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Leveraged foreign exchange trading | 2012-03-22 | 2016-03-09 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2009-02-11 | 2016-10-31 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2009-02-11 | 2016-10-31 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | Dealing in futures contracts | 2008-02-21 | 2008-10-10 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2008-02-21 | 2008-10-10 |