| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SILVERHORN INVESTMENT ADVISORS LIMITED | Rep | 就證券提供意見 | 2019-05-14 | 2019-08-29 |
| Rep | 證券交易 | 2019-05-14 | 2019-08-29 | |
| GUOTAI JUNAN FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2016-05-27 | 2018-05-17 |
| GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2016-05-27 | 2018-05-17 |
| Topaz Financial Group Limited | Rep | 期貨合約交易 | 2013-07-25 | 2015-06-22 |
| Rep | 證券交易 | 2013-07-25 | 2015-06-22 |