| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Yuanta Securities (Hong Kong) Company Limited | Rep | 期貨合約交易 | 2015-10-30 | - |
| Rep | 槓桿式外匯交易 | 2015-10-30 | 2016-10-31 | |
| Rep | 就證券提供意見 | 2015-10-13 | - | |
| Rep | 證券交易 | 2015-10-13 | - | |
| Rich Union Securities (H.K.) Limited | Rep | 就證券提供意見 | 2007-08-22 | 2009-01-05 |
| Rep | 證券交易 | 2007-08-22 | 2009-01-05 |