| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| YICKO SECURITIES LIMITED | Rep | 證券交易 | 2005-06-03 | 2005-11-08 |
| VICTORY SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2004-10-12 | 2005-06-03 |
| EMPEROR FUTURES LIMITED | Rep | 期貨合約交易 | 2004-05-06 | 2004-10-11 |
| EMPEROR SECURITIES LIMITED (HK) | Rep | 就機構融資提供意見 | - | 2004-05-04 |
| Rep | 就證券提供意見 | - | 2004-05-04 | |
| Rep | 提供資產管理 | - | 2004-05-04 | |
| Rep | 提供自動化交易服務 | - | 2004-05-04 | |
| Rep | 證券交易 | - | 2004-10-11 |