| Aurelius Financial Group Limited | RO | Advising on securities | 2026-08-05 | - |
| RO | Asset management | 2026-08-05 | - |
| RO | Dealing in securities | 2026-08-05 | - |
| Rep | Advising on securities | 2026-06-24 | 2026-08-05 |
| Rep | Asset management | 2026-06-24 | 2026-08-05 |
| Rep | Dealing in securities | 2026-06-24 | 2026-08-05 |
| CFTC ASSET MANAGEMENT (HONG KONG) LIMITED | RO | Advising on securities | 2023-07-05 | 2026-03-31 |
| RO | Asset management | 2023-07-05 | 2026-03-31 |
| FULBRIGHT FUTURES LIMITED | Rep | Dealing in futures contracts | 2018-04-16 | 2023-01-27 |
| FULBRIGHT SECURITIES LIMITED | Rep | Dealing in securities | 2018-04-16 | 2023-01-27 |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2017-05-31 | 2018-03-21 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2017-05-31 | 2018-03-21 |
| Nerico Brothers Limited (HK) | Rep | Dealing in futures contracts | 2013-09-30 | 2017-04-09 |
| Rep | Dealing in securities | 2013-09-30 | 2017-04-09 |
| Rep | Leveraged foreign exchange trading | 2013-09-30 | 2017-04-09 |
| Tung Shing Securities (Brokers) Limited | Rep | Leveraged foreign exchange trading | 2013-07-30 | 2013-09-09 |
| Tung Shing Futures (Brokers) Limited | Rep | Dealing in futures contracts | 2010-04-13 | 2013-09-09 |
| Tung Shing Securities (Brokers) Limited | Rep | Dealing in securities | 2010-04-13 | 2013-09-09 |
| PRUDENTIAL INDEX TRADING COMPANY LIMITED | Rep | Dealing in futures contracts | 2008-03-14 | 2010-04-07 |
| PRUDENTIAL BROKERAGE LIMITED | Rep | Dealing in securities | 2007-12-06 | 2010-04-07 |