| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | 證券交易 | 2016-07-01 | 2019-06-29 |
| Rep | 證券交易 | 2016-04-20 | 2016-06-30 | |
| CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | 期貨合約交易 | 2016-04-20 | 2019-06-29 |
| CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2016-04-20 | 2016-06-30 |
| CES Commodities (HK) Limited | Rep | 期貨合約交易 | 2015-09-02 | 2016-04-09 |
| Everbright Securities Investment Services (HK) Limited | Rep | 證券交易 | 2015-09-02 | 2016-04-09 |
| Golden Hen Securities and Futures Limited | Rep | 期貨合約交易 | 2014-08-06 | 2015-08-17 |
| Rep | 證券交易 | 2014-08-06 | 2015-08-17 |