| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| KGI ASIA LIMITED | Rep | 就證券提供意見 | 2014-04-16 | 2015-07-01 |
| Rep | 證券交易 | 2014-04-16 | 2015-07-01 | |
| Yunfeng Financial Markets Limited | Rep | 證券交易 | 2012-06-19 | 2014-03-01 |
| CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED | Rep | 期貨合約交易 | 2008-06-27 | 2012-04-01 |
| Rep | 證券交易 | 2008-06-27 | 2012-04-01 |