| SINO-RICH SECURITIES & FUTURES LIMITED | Rep | Advising on futures contracts | 2019-06-28 | 2019-12-28 |
| Rep | Advising on securities | 2019-06-28 | 2019-12-28 |
| Rep | Asset management | 2019-06-28 | 2019-12-28 |
| Rep | Dealing in futures contracts | 2019-06-28 | 2019-12-28 |
| Rep | Dealing in securities | 2019-06-28 | 2019-12-28 |
| Public Securities Limited | Rep | Dealing in securities | 2012-10-24 | 2013-03-04 |
| CINDA INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2012-09-06 | 2012-10-17 |
| CINDA INTERNATIONAL SECURITIES LIMITED | Rep | Dealing in securities | 2012-09-06 | 2012-10-17 |
| KGI ASIA LIMITED | Rep | Advising on securities | 2012-03-05 | 2012-07-24 |
| Rep | Dealing in securities | 2012-03-05 | 2012-07-24 |
| KGI FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2012-03-05 | 2012-07-24 |
| PRESIDENT SECURITIES (HONG KONG) LIMITED | Rep | Advising on securities | 2009-06-11 | 2012-02-22 |
| Rep | Dealing in securities | 2009-06-11 | 2012-02-22 |
| Friedmann Pacific Asset Management (Hong Kong) Limited | Rep | Advising on securities | 2009-05-06 | 2009-05-29 |
| SINO-RICH SECURITIES & FUTURES LIMITED | Rep | Dealing in securities | 2009-05-06 | 2009-05-29 |
| RHB SECURITIES HONG KONG LIMITED | RO | Advising on securities | 2007-05-07 | 2008-10-25 |
| RHB FUTURES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2007-03-12 | 2008-10-25 |
| RHB SECURITIES HONG KONG LIMITED | Rep | Advising on securities | 2007-03-12 | 2007-05-07 |
| Rep | Dealing in securities | 2007-03-12 | 2008-10-25 |
| PIPER JAFFRAY ASIA SECURITIES LIMITED | RO | Advising on securities | 2005-11-17 | 2007-02-17 |
| RO | Dealing in securities | 2005-09-22 | 2007-02-17 |
| PIPER JAFFRAY ASIA FUTURES LIMITED | Rep | Dealing in futures contracts | 2004-11-05 | 2007-02-17 |
| PIPER JAFFRAY ASIA SECURITIES LIMITED | Rep | Dealing in securities | 2004-11-05 | 2005-09-22 |
| SHUN LOONG FUTURES LIMITED | Rep | Advising on futures contracts | 2003-11-12 | 2004-08-19 |
| Rep | Dealing in futures contracts | 2003-11-12 | 2004-10-17 |
| SHUN LOONG SECURITIES COMPANY LIMITED | Rep | Advising on securities | 2003-11-12 | 2004-08-19 |
| Rep | Providing automated trading services | 2003-11-12 | 2004-08-19 |
| Rep | Dealing in securities | 2003-11-12 | 2004-10-17 |
| CELESTIAL COMMODITIES LIMITED | Rep | Advising on futures contracts | - | 2003-05-31 |
| Rep | Asset management | - | 2003-05-31 |
| Rep | Providing automated trading services | - | 2003-05-31 |
| Rep | Dealing in futures contracts | - | 2003-05-31 |
| CELESTIAL FINANCE LIMITED | Rep | Securities margin financing | - | 2003-05-31 |
| CELESTIAL SECURITIES LIMITED | Rep | Advising on corporate finance | - | 2003-05-31 |
| Rep | Advising on securities | - | 2003-05-31 |
| Rep | Asset management | - | 2003-05-31 |
| Rep | Providing automated trading services | - | 2003-05-31 |
| Rep | Dealing in securities | - | 2003-05-31 |