| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Yunfeng Securities Limited | Rep | 證券交易 | 2013-12-27 | 2016-08-02 |
| Yunfeng Financial Markets Limited | Rep | 證券交易 | 2012-07-26 | 2016-08-02 |
| CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED | Rep | 證券交易 | 2006-06-29 | 2012-04-23 |
| ETRADE SECURITIES LIMITED | RO | 就證券提供意見 | 2004-09-02 | 2006-05-03 |
| RO | 證券交易 | 2004-09-02 | 2006-05-03 | |
| ETRADE SECURITIES (HONG KONG) LIMITED | RO | 就證券提供意見 | 2004-02-10 | 2006-05-03 |
| RO | 證券交易 | 2004-02-10 | 2006-05-03 | |
| Rep | 就機構融資提供意見 | - | 2004-02-05 | |
| Rep | 提供資產管理 | - | 2004-02-05 | |
| Rep | 就證券提供意見 | - | 2004-02-10 |