| Market Securities (Hong Kong) Limited | RO | Dealing in futures contracts | 2020-08-07 | - |
| RO | Dealing in securities | 2020-08-07 | - |
| Jefferies Hong Kong Limited | RO | Dealing in futures contracts | 2012-10-03 | 2015-08-31 |
| RO | Dealing in securities | 2012-06-14 | 2015-08-31 |
| JEFFERIES BACHE (HONG KONG) LIMITED | RO | Dealing in futures contracts | 2012-03-14 | 2012-11-30 |
| Jefferies Hong Kong Limited | Rep | Dealing in securities | 2012-03-09 | 2012-06-14 |
| JEFFERIES BACHE (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2012-02-06 | 2012-03-14 |
| HSBC Corporate Finance (Hong Kong) Limited | RO | Dealing in futures contracts | 2009-09-30 | 2011-09-27 |
| HSBC FUTURES (SINGAPORE) PTE LTD | RO | Advising on futures contracts | 2009-09-30 | 2011-09-27 |
| RO | Dealing in futures contracts | 2009-09-30 | 2011-09-27 |
| Rep | Advising on futures contracts | 2009-05-27 | 2009-09-30 |
| Rep | Dealing in futures contracts | 2009-05-27 | 2009-09-30 |
| SG Asset Finance (Hong Kong) Limited | Rep | Dealing in futures contracts | 2008-09-18 | 2008-09-30 |
| Rep | Dealing in securities | 2008-09-18 | 2008-09-30 |
| Newedge Broker Limited | RO | Dealing in securities | 2003-05-14 | 2008-07-16 |
| RO | Advising on futures contracts | 2003-04-01 | 2003-05-14 |
| RO | Asset management | 2003-04-01 | 2003-05-14 |
| RO | Providing automated trading services | 2003-04-01 | 2008-07-16 |
| RO | Dealing in futures contracts | 2003-04-01 | 2008-07-16 |