| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Novel Wealth Management Limited | RO | 就證券提供意見 | 2021-08-19 | 2022-11-09 |
| RO | 提供資產管理 | 2021-08-19 | 2022-11-09 | |
| RO | 證券交易 | 2021-08-19 | 2022-11-09 | |
| EverShine International Securities Limited | RO | 證券交易 | 2018-10-03 | 2021-03-09 |
| UNI-CENTURY INTERNATIONAL ASSET MANAGEMENT LIMITED | RO | 就證券提供意見 | 2018-10-03 | 2021-03-09 |
| RO | 提供資產管理 | 2018-10-03 | 2021-03-09 | |
| CHINA HANYA ASSET MANAGEMENT LIMITED | Rep | 就證券提供意見 | 2016-05-20 | 2017-03-27 |
| Rep | 提供資產管理 | 2016-05-20 | 2017-03-27 | |
| FT Securities Limited | Rep | 就期貨合約提供意見 | 2006-09-14 | 2009-02-12 |
| Rep | 期貨合約交易 | 2006-09-14 | 2009-02-12 | |
| Rep | 證券交易 | 2006-09-14 | 2009-02-12 |