| China Galaxy International Futures (Hong Kong) Co., Limited | RO | Dealing in futures contracts | 2022-06-09 | - |
| China Galaxy International Securities (Hong Kong) Co., Limited | RO | Advising on securities | 2022-06-09 | - |
| RO | Dealing in securities | 2022-06-09 | - |
| China Galaxy International Futures (Hong Kong) Co., Limited | Rep | Dealing in futures contracts | 2022-04-22 | 2022-06-09 |
| China Galaxy International Securities (Hong Kong) Co., Limited | Rep | Advising on securities | 2022-04-22 | 2022-06-09 |
| Rep | Dealing in securities | 2022-04-22 | 2022-06-09 |
| HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | RO | Advising on securities | 2019-06-20 | 2022-02-11 |
| RO | Dealing in futures contracts | 2019-06-20 | 2022-02-11 |
| RO | Dealing in securities | 2019-06-20 | 2022-02-11 |
| Rep | Advising on securities | 2017-12-12 | 2019-06-20 |
| Rep | Dealing in futures contracts | 2017-12-12 | 2019-06-20 |
| Rep | Dealing in securities | 2017-12-12 | 2019-06-20 |
| CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED | Rep | Leveraged foreign exchange trading | 2014-11-12 | 2016-05-23 |
| CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED | Rep | Dealing in futures contracts | 2014-01-06 | 2017-11-22 |
| CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED | Rep | Advising on securities | 2014-01-06 | 2017-11-22 |
| Rep | Dealing in securities | 2014-01-06 | 2017-11-22 |
| JPMorgan Funds (Asia) Limited | Rep | Dealing in securities | 2011-07-11 | 2013-08-14 |