| 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 | 2016-05-09 | 2016-05-26 |
| RO | 證券交易 | 2016-05-09 | 2016-10-18 | |
| Fortune Asset Management Limited (HK) | Rep | 就證券提供意見 | 2011-05-06 | 2013-08-02 |
| Rep | 提供資產管理 | 2011-05-06 | 2013-08-02 | |
| FORTUNE (HK) SECURITIES LIMITED | Rep | 證券交易 | 2010-01-18 | 2013-01-15 |
| CCB INTERNATIONAL SECURITIES LIMITED | Rep | 就證券提供意見 | 2008-09-24 | 2009-05-12 |