| Future Securities Limited (HK) | Rep | Dealing in futures contracts | 2017-12-01 | 2019-12-16 |
| Rep | Dealing in securities | 2017-12-01 | 2019-12-16 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in securities | 2014-01-20 | 2014-12-31 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | Dealing in futures contracts | 2014-01-20 | 2014-12-31 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in securities | 2011-07-21 | 2012-12-31 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | Dealing in futures contracts | 2011-07-21 | 2012-12-31 |
| WING FUNG FINTECH LIMITED | Rep | Leveraged foreign exchange trading | 2009-09-08 | 2009-10-16 |
| WING FUNG FUTURES LIMITED | Rep | Dealing in futures contracts | 2009-09-08 | 2009-10-16 |
| WING FUNG SECURITIES LIMITED | Rep | Dealing in securities | 2009-09-08 | 2009-10-16 |
| CES Forex (HK) Limited | Rep | Leveraged foreign exchange trading | 2008-09-17 | 2009-07-12 |
| CES Commodities (HK) Limited | Rep | Dealing in futures contracts | 2008-09-11 | 2009-07-12 |
| Everbright Securities Investment Services (HK) Limited | Rep | Dealing in securities | 2008-09-11 | 2009-07-12 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in securities | 2007-11-01 | 2008-07-05 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | Advising on futures contracts | - | 2004-02-20 |
| Rep | Asset management | - | 2004-02-20 |
| Rep | Dealing in futures contracts | - | 2008-07-05 |