| KGI FUTURES (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2019-08-21 | - |
| KGI ASIA LIMITED | Rep | Advising on securities | 2017-10-03 | - |
| Rep | Dealing in securities | 2017-10-03 | - |
| Rep | Advising on securities | 2013-01-02 | 2017-10-02 |
| KGI FUTURES (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2013-01-02 | 2019-07-02 |
| KGI ASIA LIMITED | Rep | Dealing in securities | 2012-09-12 | 2017-10-02 |
| KGI FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2012-09-12 | - |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2009-05-15 | 2012-09-05 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2009-05-15 | 2012-09-05 |
| Ark Securities (Hong Kong) Limited | Rep | Dealing in securities | 2009-03-23 | 2009-05-09 |
| PROVIDENT FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2009-03-23 | 2009-05-09 |