| SDG Securities (HK) Limited | RO | Advising on futures contracts | 2020-01-17 | 2023-12-29 |
| RO | Dealing in futures contracts | 2020-01-17 | 2023-12-29 |
| RO | Advising on securities | 2019-10-09 | 2023-12-29 |
| SDG Futures (HK) Limited | RO | Dealing in futures contracts | 2018-08-16 | 2019-12-24 |
| SDG Securities (HK) Limited | RO | Dealing in securities | 2018-08-16 | 2023-12-29 |
| SORRENTO SECURITIES LIMITED | RO | Advising on securities | 2017-09-12 | 2017-10-31 |
| RO | Dealing in securities | 2017-04-13 | 2017-10-31 |
| Rep | Dealing in securities | 2017-03-20 | 2017-04-13 |
| GUODU SECURITIES (HONG KONG) LIMITED | RO | Advising on securities | 2016-06-15 | 2017-03-10 |
| RO | Dealing in securities | 2016-06-15 | 2017-03-10 |
| GUODU FUTURES (HONG KONG) LIMITED | RO | Advising on futures contracts | 2015-07-10 | 2017-03-10 |
| RO | Dealing in futures contracts | 2014-11-07 | 2017-03-10 |
| Rep | Dealing in futures contracts | 2012-12-27 | 2014-11-07 |
| GUODU SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2009-11-17 | 2016-06-15 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Advising on securities | 2008-03-20 | 2009-07-04 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | Dealing in futures contracts | 2007-10-18 | 2009-07-04 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2007-10-18 | 2009-07-04 |