| SOUTH CHINA COMMODITIES LIMITED | Rep | Dealing in futures contracts | 2021-05-24 | 2021-07-14 |
| South China Investment Management Limited | Rep | Asset management | 2021-05-24 | 2021-07-14 |
| SOUTH CHINA SECURITIES LIMITED | Rep | Dealing in securities | 2021-05-24 | 2021-07-14 |
| Quam Securities Limited | RO | Advising on corporate finance | 2019-08-09 | 2020-11-13 |
| RO | Advising on securities | 2019-08-09 | 2021-05-09 |
| RO | Asset management | 2019-08-09 | 2021-05-09 |
| RO | Dealing in futures contracts | 2019-08-09 | 2021-05-09 |
| RO | Dealing in securities | 2019-08-09 | 2021-05-09 |
| Rep | Advising on securities | 2019-04-23 | 2019-08-09 |
| Rep | Dealing in futures contracts | 2019-04-23 | 2019-08-09 |
| Rep | Dealing in securities | 2019-04-23 | 2019-08-09 |
| China Galaxy International Futures (Hong Kong) Co., Limited | RO | Dealing in futures contracts | 2018-02-27 | 2019-03-31 |
| China Galaxy International Securities (Hong Kong) Co., Limited | RO | Advising on securities | 2018-02-27 | 2019-03-31 |
| RO | Dealing in securities | 2018-02-27 | 2019-03-31 |
| China Galaxy International Futures (Hong Kong) Co., Limited | Rep | Dealing in futures contracts | 2018-01-15 | 2018-02-27 |
| China Galaxy International Securities (Hong Kong) Co., Limited | Rep | Advising on securities | 2018-01-15 | 2018-02-27 |
| Rep | Dealing in securities | 2018-01-15 | 2018-02-27 |
| MASON INVESTMENT MANAGEMENT LIMITED | RO | Advising on securities | 2017-01-05 | 2017-11-10 |
| RO | Asset management | 2017-01-05 | 2017-11-10 |
| Mason Securities Limited | RO | Advising on securities | 2017-01-05 | 2017-11-10 |
| RO | Asset management | 2017-01-05 | 2017-11-10 |
| RO | Dealing in securities | 2017-01-05 | 2017-11-10 |
| THOMAS GLOBAL FINANCIAL SERVICES LIMITED | RO | Dealing in securities | 2017-01-05 | 2017-11-10 |
| ZHONG ZHENG INTERNATIONAL FUTURES LIMITED | RO | Dealing in futures contracts | 2017-01-05 | 2017-11-10 |
| MASON INVESTMENT MANAGEMENT LIMITED | Rep | Advising on securities | 2016-11-09 | 2017-01-05 |
| Rep | Asset management | 2016-11-09 | 2017-01-05 |
| Mason Securities Limited | Rep | Advising on securities | 2016-11-09 | 2017-01-05 |
| Rep | Asset management | 2016-11-09 | 2017-01-05 |
| Rep | Dealing in securities | 2016-11-09 | 2017-01-05 |
| THOMAS GLOBAL FINANCIAL SERVICES LIMITED | Rep | Dealing in securities | 2016-11-09 | 2017-01-05 |
| ZHONG ZHENG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2016-11-09 | 2017-01-05 |
| SHENWAN HONGYUAN ASSET MANAGEMENT (ASIA) LIMITED | RO | Advising on securities | 2008-09-05 | 2016-10-20 |
| RO | Asset management | 2008-09-05 | 2016-10-20 |
| SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED | RO | Advising on securities | 2008-06-30 | 2013-07-09 |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | RO | Dealing in futures contracts | 2007-11-27 | 2016-10-20 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | RO | Dealing in securities | 2007-11-27 | 2016-10-20 |
| SHENYIN WANGUO ONLINE BROKER (H.K.) LIMITED | RO | Dealing in securities | 2007-11-27 | 2014-04-28 |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2007-10-29 | 2007-11-27 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2007-10-29 | 2007-11-27 |
| PIPER JAFFRAY ASIA FUTURES LIMITED | RO | Dealing in futures contracts | 2004-03-23 | 2007-10-06 |
| PIPER JAFFRAY ASIA SECURITIES LIMITED | RO | Advising on securities | 2004-03-23 | 2007-10-06 |
| RO | Dealing in securities | 2003-11-05 | 2007-10-06 |
| Rep | Dealing in securities | 2003-10-07 | 2003-11-05 |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | RO | Dealing in futures contracts | 2003-06-24 | 2003-10-03 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | RO | Providing automated trading services | 2003-06-24 | 2003-09-11 |
| RO | Dealing in securities | 2003-06-24 | 2003-10-03 |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | Advising on futures contracts | - | 2003-06-05 |
| Rep | Asset management | - | 2003-06-05 |
| Rep | Dealing in futures contracts | - | 2003-06-24 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Advising on corporate finance | - | 2003-06-05 |
| Rep | Advising on securities | - | 2003-06-05 |
| Rep | Asset management | - | 2003-06-05 |
| Rep | Providing automated trading services | - | 2003-06-24 |
| Rep | Dealing in securities | - | 2003-06-24 |