| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| DBS VICKERS (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2011-03-23 | 2013-05-31 |
| Rep | 證券交易 | 2011-03-23 | 2013-05-31 | |
| CES Commodities (HK) Limited | Rep | 期貨合約交易 | 2006-04-28 | 2011-03-16 |
| Everbright Securities Investment Services (HK) Limited | Rep | 證券交易 | 2004-09-20 | 2011-03-16 |
| Rep | 證券交易 | 2003-11-03 | 2004-06-29 | |
| WINGS SECURITIES (HK) LIMITED | Rep | 就機構融資提供意見 | - | 2003-05-23 |
| Rep | 就證券提供意見 | - | 2003-05-23 | |
| Rep | 提供資產管理 | - | 2003-05-23 | |
| Rep | 證券交易 | - | 2003-05-23 |