| ORIENTAL PATRON SECURITIES LIMITED | RO | Advising on securities | 2019-09-25 | 2021-07-05 |
| RO | Dealing in securities | 2019-09-25 | 2021-07-05 |
| Rep | Advising on securities | 2019-08-12 | 2019-09-25 |
| Rep | Dealing in securities | 2019-08-12 | 2019-09-25 |
| China Galaxy International Futures (Hong Kong) Co., Limited | Rep | Dealing in futures contracts | 2018-12-05 | 2019-08-05 |
| China Galaxy International Securities (Hong Kong) Co., Limited | Rep | Advising on securities | 2018-10-18 | 2019-08-05 |
| Rep | Dealing in securities | 2018-10-18 | 2019-08-05 |
| Finex Hong Kong Limited | RO | Advising on securities | 2018-07-12 | 2018-10-03 |
| RO | Dealing in securities | 2018-07-12 | 2018-10-03 |
| MIB SECURITIES (HONG KONG) LIMITED | RO | Advising on securities | 2017-06-28 | 2018-04-13 |
| RO | Dealing in securities | 2017-06-28 | 2018-04-13 |
| Rep | Advising on securities | 2017-05-24 | 2017-06-28 |
| Rep | Dealing in securities | 2017-05-24 | 2017-06-28 |
| Look's Securities Limited | RO | Dealing in securities | 2016-08-31 | 2016-12-15 |
| Safari Asia Limited | RO | Advising on securities | 2016-07-21 | 2016-12-15 |
| Rep | Asset management | 2016-03-08 | 2016-12-15 |
| TC Investment Management (Asia) Limited | RO | Advising on securities | 2014-03-18 | 2015-08-08 |
| RO | Dealing in securities | 2014-03-18 | 2015-08-08 |
| OCBC SECURITIES (HONG KONG) LIMITED | RO | Dealing in securities | 2009-03-09 | 2013-07-03 |
| Rep | Dealing in securities | 2008-04-08 | 2009-03-09 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2007-10-24 | 2008-03-14 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2007-09-05 | 2008-03-14 |
| FWD Financial Planning Limited (HK) | Rep | Advising on securities | 2003-08-13 | 2003-11-26 |