| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| TC Investment Management (Asia) Limited | Rep | 就證券提供意見 | 2015-10-12 | 2016-03-15 |
| Rep | 證券交易 | 2015-10-12 | 2016-03-15 | |
| ORIENTAL WEALTH FUTURES LIMITED | Rep | 期貨合約交易 | 2014-01-17 | 2014-05-14 |
| ORIENTAL WEALTH SECURITIES LIMITED | Rep | 證券交易 | 2014-01-17 | 2014-05-14 |