| Tung Shing Securities (Brokers) Limited | Rep | Leveraged foreign exchange trading | 2013-09-27 | 2014-03-03 |
| Tung Shing Futures (Brokers) Limited | Rep | Dealing in futures contracts | 2010-04-22 | 2014-03-03 |
| Tung Shing Securities (Brokers) Limited | Rep | Dealing in securities | 2010-04-22 | 2014-03-03 |
| FT Securities Limited | Rep | Advising on futures contracts | 2006-11-16 | 2008-04-19 |
| Rep | Dealing in futures contracts | 2006-11-16 | 2008-04-19 |
| Rep | Dealing in securities | 2006-11-16 | 2008-04-19 |
| KGI ASIA LIMITED | Rep | Dealing in securities | 2006-02-28 | 2006-10-22 |
| KGI FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2006-02-28 | 2006-10-22 |
| SOUTH CHINA CAPITAL LIMITED | Rep | Advising on corporate finance | 2006-02-17 | 2006-02-24 |
| Funderstone Futures Limited | Rep | Dealing in futures contracts | 2005-11-01 | 2006-01-11 |
| Funderstone Securities Limited | Rep | Dealing in securities | 2005-11-01 | 2006-01-11 |