| Coast International Asset Management Limited | RO | Advising on securities | 2021-08-03 | - |
| RO | Asset management | 2021-08-03 | - |
| Rep | Advising on securities | 2021-07-26 | 2021-08-03 |
| Rep | Asset management | 2021-07-26 | 2021-08-03 |
| Aden Financial Group Limited | Rep | Dealing in futures contracts | 2021-04-12 | 2021-07-23 |
| RO | Advising on securities | 2021-02-04 | 2021-07-23 |
| RO | Asset management | 2021-02-04 | 2021-07-23 |
| RO | Dealing in securities | 2021-02-04 | 2021-07-23 |
| Rep | Advising on securities | 2021-01-28 | 2021-02-04 |
| Rep | Asset management | 2021-01-28 | 2021-02-04 |
| Rep | Dealing in securities | 2021-01-28 | 2021-02-04 |
| SPARC CAPITAL MANAGEMENT LIMITED | RO | Advising on securities | 2020-07-31 | 2021-01-04 |
| RO | Asset management | 2020-07-31 | 2021-01-04 |
| RO | Dealing in securities | 2020-07-31 | 2021-01-04 |
| Finex Hong Kong Limited | RO | Advising on securities | 2019-06-04 | 2020-02-03 |
| RO | Asset management | 2019-06-04 | 2020-02-03 |
| RO | Dealing in securities | 2019-01-16 | 2020-02-03 |
| South China Investment Management Limited | RO | Asset management | 2017-02-27 | 2018-11-15 |
| Rep | Asset management | 2016-12-22 | 2017-02-27 |
| SOUTH CHINA SECURITIES LIMITED | RO | Dealing in securities | 2016-11-18 | 2018-11-15 |
| South China Forex Limited | Rep | Leveraged foreign exchange trading | 2015-02-10 | 2018-11-15 |
| SOUTH CHINA COMMODITIES LIMITED | Rep | Dealing in futures contracts | 2008-07-30 | 2018-11-15 |
| SOUTH CHINA SECURITIES LIMITED | Rep | Dealing in securities | 2008-02-12 | 2016-11-18 |