| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| GEO Securities Limited | Rep | 證券交易 | 2015-10-14 | 2017-03-16 |
| OnePlatform Asset Management Limited | Rep | 證券交易 | 2012-10-17 | 2013-05-30 |
| CENTALINE WEALTH MANAGEMENT LIMITED | Rep | 證券交易 | 2011-02-16 | 2012-04-19 |
| EMPEROR FUTURES LIMITED | Rep | 期貨合約交易 | 2009-12-24 | 2010-01-21 |
| EMPEROR SECURITIES LIMITED (HK) | Rep | 證券交易 | 2009-12-24 | 2010-01-21 |
| Emperor Wealth Management Limited | Rep | 證券交易 | 2009-12-24 | 2010-01-21 |
| EMPEROR SECURITIES LIMITED (HK) | Rep | 就證券提供意見 | 2008-12-09 | 2010-01-21 |
| OnePlatform Asset Management Limited | Rep | 就證券提供意見 | 2007-07-09 | 2008-08-25 |