| Quam Securities Limited | Rep | Dealing in futures contracts | 2020-10-23 | - |
| Rep | Dealing in securities | 2020-10-23 | - |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | Dealing in futures contracts | 2020-05-04 | 2020-10-09 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2020-05-04 | 2020-10-09 |
| RHB FUTURES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2015-02-04 | 2020-04-30 |
| RHB SECURITIES HONG KONG LIMITED | Rep | Dealing in securities | 2015-02-04 | 2020-04-30 |
| PIPER JAFFRAY ASIA FUTURES LIMITED | Rep | Dealing in futures contracts | 2010-08-30 | 2012-08-25 |
| PIPER JAFFRAY ASIA SECURITIES LIMITED | Rep | Dealing in securities | 2007-11-21 | 2012-08-25 |
| CGS International Securities Hong Kong Limited | Rep | Dealing in securities | 2004-12-29 | 2007-11-02 |
| JVSakk Asia Limited | Rep | Advising on corporate finance | 2003-04-01 | 2003-06-30 |
| Rep | Advising on securities | 2003-04-01 | 2003-06-30 |
| Rep | Asset management | 2003-04-01 | 2003-06-30 |
| Rep | Dealing in securities | 2003-04-01 | 2003-06-30 |