| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| DONVEX CAPITAL LIMITED | Rep | 就機構融資提供意見 | 2011-03-21 | 2012-03-29 |
| CES Commodities (HK) Limited | Rep | 期貨合約交易 | 2007-10-30 | 2008-05-01 |
| CES Forex (HK) Limited | Rep | 槓桿式外匯交易 | 2007-10-30 | 2008-05-01 |
| Everbright Securities Investment Services (HK) Limited | Rep | 證券交易 | 2007-08-24 | 2008-05-01 |