| FOUNDER SECURITIES (HONG KONG) LIMITED | RO | Advising on securities | 2019-02-01 | 2019-09-16 |
| FOUNDER FUTURES (HONG KONG) LIMITED | RO | Dealing in futures contracts | 2019-01-25 | 2019-09-16 |
| FOUNDER SECURITIES (HONG KONG) LIMITED | RO | Dealing in securities | 2019-01-25 | 2019-09-16 |
| FOUNDER FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2018-11-27 | 2019-01-25 |
| FOUNDER SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2018-11-27 | 2019-01-25 |
| Soochow Securities International Brokerage Limited | RO | Advising on securities | 2017-11-22 | 2018-08-07 |
| Soochow Securities International Futures Limited | RO | Advising on futures contracts | 2017-11-22 | 2018-08-07 |
| Soochow Securities International Brokerage Limited | RO | Dealing in securities | 2014-01-03 | 2018-08-07 |
| Soochow Securities International Futures Limited | RO | Dealing in futures contracts | 2014-01-03 | 2018-08-07 |
| PING AN SECURITIES (HONG KONG) FUTURES COMPANY LIMITED | RO | Dealing in futures contracts | 2013-07-03 | 2013-11-15 |
| Ping An Securities (Hong Kong) Holdings Company Limited | RO | Dealing in securities | 2013-07-03 | 2013-11-15 |
| PING AN SECURITIES (HONG KONG) FUTURES COMPANY LIMITED | Rep | Dealing in futures contracts | 2013-03-08 | 2013-07-03 |
| Ping An Securities (Hong Kong) Holdings Company Limited | Rep | Dealing in securities | 2013-03-08 | 2013-07-03 |
| HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2011-12-20 | 2012-04-13 |
| Rep | Dealing in securities | 2011-12-20 | 2012-04-13 |
| Yuanta Asia Investment (Hong Kong) Limited | Rep | Dealing in futures contracts | 2008-09-09 | 2011-12-10 |
| Rep | Dealing in securities | 2008-09-09 | 2011-12-10 |
| CES Commodities (HK) Limited | Rep | Advising on futures contracts | - | 2004-01-20 |
| Rep | Asset management | - | 2004-01-20 |
| Rep | Dealing in futures contracts | - | 2008-08-23 |
| Everbright Securities Investment Services (HK) Limited | Rep | Providing automated trading services | - | 2003-07-07 |
| Rep | Advising on corporate finance | - | 2004-01-20 |
| Rep | Advising on securities | - | 2004-01-20 |
| Rep | Asset management | - | 2004-01-20 |
| Rep | Dealing in securities | - | 2008-08-23 |