| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Golden Rich Securities Limited | Rep | 證券交易 | 2020-11-30 | - |
| RO | 證券交易 | 2016-06-23 | 2020-11-30 | |
| Rep | 證券交易 | 2016-04-26 | 2016-06-23 | |
| CVP Securities Limited | RO | 期貨合約交易 | 2005-12-29 | 2016-02-01 |
| RO | 證券交易 | 2005-12-29 | 2016-02-01 | |
| Rep | 期貨合約交易 | 2005-10-27 | 2005-12-29 | |
| Rep | 證券交易 | 2004-07-20 | 2005-12-29 | |
| PIPER JAFFRAY ASIA FUTURES LIMITED | RO | 期貨合約交易 | 2004-02-13 | 2004-03-23 |
| PIPER JAFFRAY ASIA SECURITIES LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-03-23 |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-03-23 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-03-23 | |
| Rep | 證券交易 | 2003-04-01 | 2004-03-23 |