| CHINA XIN YONGAN FUTURES COMPANY LIMITED | RO | Advising on futures contracts | 2019-08-07 | - |
| RO | Dealing in futures contracts | 2019-08-07 | - |
| XIN YONGAN INTERNATIONAL ASSET MANAGEMENT COMPANY LIMITED | RO | Advising on securities | 2018-11-09 | - |
| RO | Asset management | 2018-11-09 | - |
| XIN YONGAN INTERNATIONAL SECURITIES COMPANY LIMITED | RO | Dealing in securities | 2018-10-12 | - |
| BG Asset Management Limited | RO | Asset management | 2018-01-10 | 2018-02-28 |
| DA INTERNATIONAL FINANCIAL SERVICE LIMITED | RO | Dealing in securities | 2016-05-10 | 2017-07-23 |
| RO | Dealing in futures contracts | 2016-04-18 | 2017-07-23 |
| BRIDGEWAY PRIME SHOP FUND MANAGEMENT LIMITED | Rep | Asset management | 2015-11-17 | 2016-02-20 |
| RO | Advising on securities | 2015-10-30 | 2016-02-20 |
| RO | Dealing in securities | 2015-10-30 | 2016-02-20 |
| HGNH International Asset Management Co., Limited | Rep | Asset management | 2014-07-25 | 2015-05-29 |
| HGNH International Forex Co., Limited | Rep | Leveraged foreign exchange trading | 2014-07-25 | 2015-05-29 |
| HGNH International Futures Co., Limited | Rep | Dealing in futures contracts | 2014-05-16 | 2015-05-29 |
| HGNH International Securities Co., Limited | RO | Dealing in securities | 2014-01-08 | 2015-05-29 |
| CES Commodities (HK) Limited | Rep | Dealing in futures contracts | 2012-04-17 | 2012-11-30 |
| CES Forex (HK) Limited | Rep | Leveraged foreign exchange trading | 2012-04-17 | 2012-11-30 |
| Everbright Securities Digital Finance (HK) Limited | Rep | Dealing in securities | 2012-04-17 | 2012-11-30 |
| Everbright Securities Investment Services (HK) Limited | Rep | Dealing in securities | 2012-04-17 | 2012-11-30 |
| RaffAello Securities (HK) Limited | RO | Dealing in securities | 2011-12-29 | 2012-03-23 |
| Rep | Dealing in securities | 2011-11-02 | 2011-12-29 |
| Quam Securities Limited | Rep | Dealing in futures contracts | 2011-03-03 | 2011-10-15 |
| Rep | Dealing in securities | 2011-03-03 | 2011-10-15 |
| BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED | Rep | Dealing in futures contracts | 2011-01-13 | 2011-02-22 |
| BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED | Rep | Dealing in securities | 2011-01-13 | 2011-02-22 |
| MIB FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2010-07-23 | 2010-12-06 |
| MIB SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2010-07-23 | 2010-12-06 |
| BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED | Rep | Dealing in futures contracts | 2010-03-25 | 2010-07-14 |
| BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED | Rep | Dealing in securities | 2010-03-25 | 2010-07-14 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | Advising on futures contracts | 2009-11-30 | 2010-03-13 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Advising on securities | 2009-11-30 | 2010-03-13 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | Dealing in futures contracts | 2009-09-09 | 2010-03-13 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2009-09-09 | 2010-03-13 |
| CHIEF COMMODITIES LIMITED | Rep | Dealing in futures contracts | 2008-08-12 | 2009-08-27 |
| CHIEF SECURITIES LIMITED | Rep | Dealing in securities | 2008-08-12 | 2009-08-27 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2005-05-26 | 2008-07-30 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2005-01-24 | 2008-07-30 |
| Rep | Leveraged foreign exchange trading | 2005-01-24 | 2008-07-30 |
| CINDA INTERNATIONAL INVESTMENT MANAGEMENT LIMITED | Rep | Leveraged foreign exchange trading | 2003-07-24 | 2003-10-17 |