| Future Growth Financial Services Limited | RO | Dealing in futures contracts | 2018-08-23 | 2021-12-20 |
| Rep | Dealing in futures contracts | 2016-06-14 | 2018-08-23 |
| RO | Dealing in securities | 2016-03-30 | 2021-12-20 |
| Rep | Dealing in securities | 2016-02-26 | 2016-03-30 |
| PC SECURITIES LIMITED | RO | Dealing in securities | 2014-06-11 | 2016-01-29 |
| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | Dealing in securities | 2012-08-22 | 2014-02-19 |
| CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2012-08-22 | 2014-02-19 |
| CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2012-08-22 | 2014-02-19 |
| Hong Kong Securities (International) Company Limited | RO | Dealing in securities | 2011-07-11 | 2012-07-09 |
| CNI Securities Group Limited | Rep | Dealing in securities | 2010-10-13 | 2011-07-05 |
| RO | Dealing in securities | 2009-12-15 | 2010-10-13 |
| GBS INTERNATIONAL FINANCIAL LIMITED | Rep | Dealing in futures contracts | 2009-12-15 | 2010-08-18 |
| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | Dealing in securities | 2009-10-30 | 2009-12-09 |
| CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2009-10-30 | 2009-12-09 |
| CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2009-10-30 | 2009-12-09 |
| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | Dealing in securities | 2008-06-13 | 2009-05-27 |
| CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2008-06-13 | 2009-05-27 |
| CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2008-06-13 | 2009-05-27 |
| CELESTIAL COMMODITIES LIMITED | Rep | Dealing in futures contracts | 2007-10-25 | 2008-05-16 |
| CELESTIAL SECURITIES LIMITED | Rep | Dealing in securities | 2007-10-25 | 2008-05-16 |
| WING FUNG FUTURES LIMITED | RO | Dealing in futures contracts | 2007-01-11 | 2007-10-11 |
| WING FUNG SECURITIES LIMITED | RO | Dealing in securities | 2007-01-11 | 2007-10-11 |
| WING FUNG FUTURES LIMITED | Rep | Dealing in futures contracts | 2006-10-25 | 2007-01-11 |
| WING FUNG SECURITIES LIMITED | Rep | Dealing in securities | 2006-10-25 | 2007-01-11 |
| TIS SECURITIES (HK) LIMITED | RO | Dealing in futures contracts | 2005-05-24 | 2006-09-30 |
| Rep | Dealing in futures contracts | 2005-02-18 | 2005-05-24 |
| Rep | Dealing in securities | 2004-06-25 | 2006-09-30 |
| SBI China Capital Commodities Limited | Rep | Advising on futures contracts | - | 2003-07-24 |
| Rep | Asset management | - | 2003-07-24 |
| Rep | Dealing in futures contracts | - | 2003-10-07 |
| SBI China Capital Financial Services Limited | Rep | Advising on corporate finance | - | 2003-07-24 |
| Rep | Advising on securities | - | 2003-07-24 |
| Rep | Asset management | - | 2003-07-24 |
| Rep | Dealing in securities | - | 2003-10-07 |
| SBI China Capital Securities Limited | Rep | Advising on corporate finance | - | 2003-07-24 |
| Rep | Advising on securities | - | 2003-07-24 |
| Rep | Asset management | - | 2003-07-24 |
| Rep | Dealing in securities | - | 2003-10-07 |