| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| FT Securities Limited | Rep | 就期貨合約提供意見 | 2007-01-19 | 2010-11-20 |
| Rep | 期貨合約交易 | 2006-12-04 | 2010-11-20 | |
| Rep | 證券交易 | 2006-12-04 | 2010-11-20 | |
| NORMAN KONG SECURITIES COMPANY LIMITED | Rep | 期貨合約交易 | 2004-07-15 | 2006-11-17 |
| Rep | 就機構融資提供意見 | - | 2003-04-23 | |
| Rep | 就證券提供意見 | - | 2003-04-23 | |
| Rep | 提供資產管理 | - | 2003-04-23 | |
| Rep | 證券交易 | - | 2006-11-17 |