| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| ENLIGHTEN FUTURES LIMITED | RO | 期貨合約交易 | 2009-09-11 | - |
| ENLIGHTEN SECURITIES LIMITED | Rep | 證券交易 | 2009-06-18 | - |
| PIPER JAFFRAY ASIA ASSET MANAGEMENT LIMITED | RO | 就期貨合約提供意見 | 2008-04-21 | 2008-10-01 |
| PIPER JAFFRAY ASIA FUTURES LIMITED | RO | 期貨合約交易 | 2005-02-02 | 2009-06-02 |
| Rep | 期貨合約交易 | 2004-03-03 | 2005-02-02 | |
| PIPER JAFFRAY ASIA SECURITIES LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-03-03 |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-03-03 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-03-03 | |
| Rep | 證券交易 | 2003-04-01 | 2009-06-02 |