| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CES Commodities (HK) Limited | Rep | 期貨合約交易 | 2008-06-25 | 2009-09-01 |
| Everbright Securities Investment Services (HK) Limited | Rep | 證券交易 | 2008-06-25 | 2009-09-01 |
| Sun Life Hong Kong Limited | Rep | 就證券提供意見 | 2006-08-28 | 2006-10-30 |
| Network Financial Services Limited | Rep | 就證券提供意見 | 2005-11-18 | 2006-06-01 |