| UOB KAY HIAN (HONG KONG) LIMITED | Rep | Dealing in securities | 2016-09-30 | - |
| UOB KAY HIAN FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2016-09-30 | - |
| BOCI SECURITIES LIMITED | Rep | Leveraged foreign exchange trading | 2014-06-20 | 2014-11-26 |
| Rep | Dealing in futures contracts | 2014-06-20 | 2016-09-14 |
| Rep | Dealing in securities | 2014-06-20 | 2016-09-14 |
| HSBC BROKING FOREX (ASIA) LIMITED | Rep | Leveraged foreign exchange trading | 2009-08-04 | 2014-05-30 |
| HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2009-06-11 | 2014-05-30 |
| HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2009-06-11 | 2014-05-30 |