| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| WILSON SECURITIES LIMITED | Rep | 就證券提供意見 | 2015-06-19 | 2019-03-05 |
| Rep | 證券交易 | 2015-06-19 | 2019-03-05 | |
| SINO-RICH SECURITIES & FUTURES LIMITED | Rep | 證券交易 | 2015-01-30 | 2015-06-04 |
| FORTUNE (HK) SECURITIES LIMITED | Rep | 證券交易 | 2013-07-23 | 2015-01-26 |
| CVP Securities Limited | Rep | 證券交易 | 2009-02-05 | 2013-07-17 |