| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| STOCKWELL SECURITIES LIMITED | Rep | 證券交易 | 2022-07-01 | - |
| Rep | 證券交易 | 2013-06-04 | 2022-06-30 | |
| CVP Securities Limited | Rep | 期貨合約交易 | 2011-07-21 | 2013-06-03 |
| Rep | 證券交易 | 2011-07-21 | 2013-06-03 | |
| Tung Shing Futures (Brokers) Limited | Rep | 期貨合約交易 | 2003-04-01 | 2011-07-05 |
| Tung Shing Securities (Brokers) Limited | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-01-10 |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-01-10 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-01-10 | |
| Rep | 證券交易 | 2003-04-01 | 2011-07-05 |