| KARL-THOMSON COMMODITIES COMPANY LIMITED | Rep | Dealing in futures contracts | 2017-08-30 | - |
| KARL-THOMSON SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2017-08-30 | - |
| BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED | Rep | Dealing in futures contracts | 2014-11-12 | 2017-05-22 |
| BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED | Rep | Dealing in securities | 2014-11-12 | 2017-05-22 |
| KARL-THOMSON COMMODITIES COMPANY LIMITED | Rep | Dealing in futures contracts | 2009-06-15 | 2014-10-06 |
| KARL-THOMSON SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2008-07-15 | 2014-10-06 |
| Rep | Advising on corporate finance | 2003-04-01 | 2004-05-05 |
| Rep | Advising on securities | 2003-04-01 | 2004-05-05 |
| Rep | Asset management | 2003-04-01 | 2004-05-05 |
| Rep | Providing automated trading services | 2003-04-01 | 2004-05-05 |
| Rep | Dealing in securities | 2003-04-01 | 2006-07-24 |