| UP WAY SECURITIES LIMITED | RO | Advising on securities | 2021-01-18 | 2022-10-31 |
| RO | Dealing in securities | 2021-01-18 | 2022-10-31 |
| Seazen Resources Futures Limited | RO | Dealing in futures contracts | 2018-02-28 | 2020-05-08 |
| Seazen Resources Securities Limited | RO | Dealing in securities | 2018-02-28 | 2020-05-08 |
| Seazen Resources Futures Limited | Rep | Dealing in futures contracts | 2017-12-22 | 2018-02-28 |
| Seazen Resources Securities Limited | Rep | Dealing in securities | 2017-12-22 | 2018-02-28 |
| CLC FUTURES LIMITED | RO | Advising on futures contracts | 2016-11-01 | 2017-11-30 |
| RO | Dealing in futures contracts | 2016-11-01 | 2017-11-30 |
| CLC SECURITIES LIMITED | RO | Advising on securities | 2016-11-01 | 2017-11-30 |
| RO | Dealing in securities | 2016-11-01 | 2017-11-30 |
| CLC FUTURES LIMITED | Rep | Dealing in futures contracts | 2014-12-18 | 2016-11-01 |
| CLC SECURITIES LIMITED | Rep | Dealing in securities | 2014-07-09 | 2016-11-01 |
| Soochow Securities International Brokerage Limited | Rep | Dealing in securities | 2012-11-15 | 2014-06-19 |
| Soochow Securities International Futures Limited | Rep | Dealing in futures contracts | 2012-11-15 | 2014-06-19 |
| Ping An Securities (Hong Kong) Holdings Company Limited | Rep | Dealing in securities | 2011-08-24 | 2012-10-31 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | Dealing in futures contracts | 2010-07-13 | 2011-08-13 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2010-07-13 | 2011-08-13 |