| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Yuanta Asia Investment (Hong Kong) Limited | Rep | 期貨合約交易 | 2009-03-12 | 2010-03-25 |
| Rep | 證券交易 | 2009-03-12 | 2010-03-25 | |
| Rep | 期貨合約交易 | 2006-06-13 | 2008-12-01 | |
| Rep | 證券交易 | 2006-06-13 | 2008-12-01 | |
| ROCTEC FUTURES TRADING COMPANY LIMITED | Rep | 就期貨合約提供意見 | - | 2005-03-07 |
| Rep | 提供資產管理 | - | 2005-03-07 | |
| Rep | 期貨合約交易 | - | 2006-03-29 | |
| ROCTEC SECURITIES COMPANY LIMITED | Rep | 就機構融資提供意見 | - | 2005-03-07 |
| Rep | 就證券提供意見 | - | 2005-03-07 | |
| Rep | 提供資產管理 | - | 2005-03-07 | |
| Rep | 證券交易 | - | 2006-03-29 |