| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CVP Securities Limited | Rep | 期貨合約交易 | 2005-12-13 | 2016-09-30 |
| Rep | 證券交易 | 2005-12-13 | 2016-09-30 | |
| UPBEST COMMODITIES COMPANY LIMITED | Rep | 就期貨合約提供意見 | - | 2003-12-23 |
| Rep | 提供資產管理 | - | 2003-12-23 | |
| Rep | 期貨合約交易 | - | 2005-12-01 | |
| UPBEST SECURITIES COMPANY LIMITED | Rep | 就機構融資提供意見 | - | 2003-12-23 |
| Rep | 就證券提供意見 | - | 2003-12-23 | |
| Rep | 提供資產管理 | - | 2003-12-23 | |
| Rep | 證券交易 | - | 2005-12-01 |