| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Ark Securities (Hong Kong) Limited | Rep | 證券交易 | 2004-04-20 | 2010-09-01 |
| PROVIDENT FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2003-12-09 | 2010-09-01 |
| Ark Securities (Hong Kong) Limited | RO | 證券交易 | 2003-10-10 | 2004-04-20 |
| Rep | 證券交易 | 2003-06-18 | 2003-10-10 | |
| SHUN LOONG SECURITIES COMPANY LIMITED | Rep | 就機構融資提供意見 | - | 2003-06-05 |
| Rep | 就證券提供意見 | - | 2003-06-05 | |
| Rep | 提供資產管理 | - | 2003-06-05 | |
| Rep | 提供自動化交易服務 | - | 2003-06-05 | |
| Rep | 證券交易 | - | 2003-06-05 |