| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| RaffAello Securities (HK) Limited | Rep | 證券交易 | 2015-07-08 | 2015-07-22 |
| Rep | 就證券提供意見 | 2015-06-02 | 2015-07-22 | |
| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | 就證券提供意見 | 2014-02-27 | 2015-03-14 |
| GEO Securities Limited | Rep | 證券交易 | 2013-09-23 | 2014-02-06 |
| DELTA ASIA SECURITIES LIMITED | Rep | 證券交易 | 2013-07-05 | 2013-08-17 |