| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| NATIONAL RESOURCES SECURITIES LIMITED | RO | 提供資產管理 | 2009-01-22 | - |
| RO | 就證券提供意見 | 2006-03-30 | - | |
| RO | 證券交易 | 2006-03-30 | - | |
| Rep | 提供資產管理 | 2006-03-30 | 2009-01-22 | |
| Rep | 證券交易 | 2005-12-01 | 2006-03-30 | |
| BOCI COMMODITIES & FUTURES LIMITED | Rep | 期貨合約交易 | 2004-10-08 | 2005-09-30 |
| BOCI SECURITIES LIMITED | Rep | 證券交易 | 2004-10-08 | 2005-09-30 |
| QUAM FUTURES LIMITED | Rep | 期貨合約交易 | 2003-10-27 | 2004-10-07 |
| Quam Securities Limited | RO | 證券交易 | 2003-04-17 | 2004-10-07 |
| Rep | 證券交易 | 2003-04-16 | 2003-04-17 |