| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| China Galaxy International Futures (Hong Kong) Co., Limited | Rep | 期貨合約交易 | 2013-10-10 | - |
| China Galaxy International Securities (Hong Kong) Co., Limited | Rep | 證券交易 | 2013-09-05 | - |
| CHINA INDUSTRIAL SECURITIES INTERNATIONAL BROKERAGE LIMITED | Rep | 證券交易 | 2013-02-20 | 2013-08-12 |
| CELESTIAL SECURITIES LIMITED | Rep | 證券交易 | 2009-09-11 | 2010-12-17 |
| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | 就證券提供意見 | 2008-04-10 | 2008-05-25 |