| KGI ASIA LIMITED | Rep | Dealing in securities | 2017-10-03 | - |
| Rep | Dealing in securities | 2010-08-04 | 2017-10-02 |
| KGI FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2010-08-04 | - |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | Dealing in futures contracts | 2010-04-30 | 2010-07-22 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2010-04-30 | 2010-07-22 |
| REFCO FOREX LIMITED | Rep | Leveraged foreign exchange trading | 2005-06-01 | 2006-02-10 |
| ADMIS Hong Kong Limited | Rep | Dealing in futures contracts | 2003-07-28 | 2009-12-02 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | Advising on futures contracts | 2003-04-01 | 2003-07-17 |
| Rep | Asset management | 2003-04-01 | 2003-07-17 |
| Rep | Dealing in futures contracts | 2003-04-01 | 2003-07-17 |