| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| BOCOM International Securities Limited | Rep | 期貨合約交易 | 2009-08-21 | 2012-07-19 |
| Rep | 證券交易 | 2009-08-21 | 2012-07-19 | |
| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | 證券交易 | 2009-07-13 | 2009-07-14 |
| CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2009-07-13 | 2009-07-14 |