| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Vantage Capital Markets HK Limited | Rep | 證券交易 | 2012-03-06 | 2016-04-01 |
| RO | 證券交易 | 2011-07-04 | 2012-02-04 | |
| RO | 期貨合約交易 | 2011-07-04 | 2016-04-01 | |
| Rep | 期貨合約交易 | 2010-09-30 | 2011-07-04 | |
| Rep | 證券交易 | 2010-09-30 | 2011-07-04 | |
| LOUIS CAPITAL MARKETS (HONG KONG) LIMITED | RO | 期貨合約交易 | 2008-11-14 | 2010-05-26 |
| Rep | 期貨合約交易 | 2008-07-07 | 2008-11-14 | |
| Rep | 證券交易 | 2008-07-07 | 2010-05-26 |