| Boom Securities (H.K.) Limited | RO | Dealing in futures contracts | 2018-04-03 | - |
| RO | Dealing in securities | 2018-04-03 | - |
| Win Securities Limited | RO | Dealing in securities | 2018-04-03 | 2024-10-03 |
| SINOPAC SECURITIES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2017-02-13 | 2017-09-30 |
| RO | Dealing in securities | 2017-02-13 | 2017-09-30 |
| RO | Leveraged foreign exchange trading | 2017-02-13 | 2017-09-30 |
| Tung Shing Securities (Brokers) Limited | RO | Dealing in securities | 2016-07-19 | 2017-02-12 |
| RO | Leveraged foreign exchange trading | 2013-10-22 | 2017-02-12 |
| Tung Shing Futures (Brokers) Limited | Rep | Dealing in futures contracts | 2013-08-27 | 2017-02-12 |
| Tung Shing Securities (Brokers) Limited | Rep | Leveraged foreign exchange trading | 2013-08-27 | 2013-10-22 |
| Rep | Dealing in securities | 2013-08-27 | 2016-07-19 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | RO | Leveraged foreign exchange trading | 2011-08-10 | 2013-08-03 |
| Rep | Dealing in securities | 2007-06-11 | 2013-08-03 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2006-11-22 | 2013-08-03 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Leveraged foreign exchange trading | 2006-09-15 | 2011-08-10 |