| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| BOCI SECURITIES LIMITED | Rep | 期貨合約交易 | 2010-04-26 | 2010-07-10 |
| Rep | 證券交易 | 2010-04-26 | 2010-07-10 | |
| BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED | Rep | 期貨合約交易 | 2009-10-08 | 2009-11-20 |
| BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED | Rep | 證券交易 | 2009-10-08 | 2009-11-20 |
| CASH Wealth Management Limited | Rep | 就證券提供意見 | 2008-01-24 | 2008-07-24 |