| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CHEONG LEE SECURITIES LIMITED | RO | 就期貨合約提供意見 | 2010-09-14 | - |
| RO | 就證券提供意見 | 2010-09-14 | - | |
| RO | 期貨合約交易 | 2010-06-30 | - | |
| RO | 證券交易 | 2010-06-30 | - | |
| KAISER SECURITIES LIMITED | Rep | 證券交易 | 2007-05-03 | 2009-01-15 |
| RO | 證券交易 | 2005-03-11 | 2007-05-03 | |
| KAISER FUTURES LIMITED | Rep | 就期貨合約提供意見 | 2003-04-01 | 2005-02-18 |
| Rep | 提供資產管理 | 2003-04-01 | 2005-02-18 | |
| Rep | 期貨合約交易 | 2003-04-01 | 2009-01-15 | |
| KAISER SECURITIES LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2005-02-18 |
| Rep | 就證券提供意見 | 2003-04-01 | 2005-02-18 | |
| Rep | 提供資產管理 | 2003-04-01 | 2005-02-18 | |
| Rep | 證券交易 | 2003-04-01 | 2005-03-11 |