| CITRUS SECURITIES LIMITED | RO | Advising on securities | 2022-04-06 | - |
| RO | Dealing in securities | 2021-11-26 | - |
| FULBRIGHT FUTURES LIMITED | Rep | Dealing in futures contracts | 2019-02-18 | 2019-10-27 |
| FULBRIGHT SECURITIES LIMITED | Rep | Dealing in securities | 2019-01-11 | 2019-10-27 |
| CHINA HANYA SECURITIES LIMITED | RO | Dealing in securities | 2018-01-31 | 2018-12-07 |
| Sinostar Securities Limited | RO | Dealing in securities | 2017-03-08 | 2017-05-11 |
| Rep | Dealing in securities | 2017-02-01 | 2017-03-08 |
| THOMAS GLOBAL FINANCIAL SERVICES LIMITED | RO | Dealing in securities | 2015-12-29 | 2016-12-28 |
| FORMAX SECURITIES LIMITED | RO | Dealing in futures contracts | 2015-08-28 | 2015-12-24 |
| RO | Dealing in securities | 2014-09-12 | 2015-12-24 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | Dealing in futures contracts | 2005-08-24 | 2014-08-01 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2004-07-08 | 2014-08-01 |
| GAYANG SECURITIES LIMITED | Rep | Advising on securities | 2004-02-18 | 2004-06-21 |