| GUOTAI JUNAN FUTURES (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2018-10-16 | - |
| Rep | Dealing in futures contracts | 2018-10-16 | - |
| GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | Rep | Advising on securities | 2018-10-16 | - |
| Rep | Dealing in securities | 2018-10-16 | - |
| BOCI SECURITIES LIMITED | Rep | Leveraged foreign exchange trading | 2013-06-11 | 2014-09-25 |
| Rep | Dealing in futures contracts | 2012-07-16 | 2018-09-25 |
| Rep | Advising on securities | 2012-06-05 | 2018-09-25 |
| Rep | Dealing in securities | 2012-06-05 | 2018-09-25 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Advising on securities | 2011-11-08 | 2012-05-24 |
| Rep | Dealing in securities | 2011-06-16 | 2012-05-24 |
| Merrill Lynch Far East Limited | Rep | Dealing in futures contracts | 2011-06-16 | 2012-05-24 |
| BGC SECURITIES (HONG KONG) LLC | Rep | Dealing in securities | 2010-05-31 | 2011-02-28 |
| Rep | Leveraged foreign exchange trading | 2010-05-31 | 2011-03-21 |
| CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED | Rep | Dealing in securities | 2010-05-31 | 2011-03-05 |
| Rep | Leveraged foreign exchange trading | 2010-05-31 | 2011-03-05 |
| CINDA INTERNATIONAL SECURITIES LIMITED | Rep | Dealing in securities | 2007-01-09 | 2010-03-24 |
| CINDA INTERNATIONAL INVESTMENT MANAGEMENT LIMITED | Rep | Leveraged foreign exchange trading | 2005-02-02 | 2010-03-24 |