| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Yuanta Securities (Hong Kong) Company Limited | Rep | 就期貨合約提供意見 | 2013-09-16 | - |
| Rep | 就證券提供意見 | 2013-09-16 | - | |
| Rep | 期貨合約交易 | 2012-12-21 | - | |
| Rep | 證券交易 | 2012-12-21 | - | |
| SINO-RICH SECURITIES & FUTURES LIMITED | Rep | 期貨合約交易 | 2011-09-05 | 2012-12-07 |
| Rep | 證券交易 | 2008-06-16 | 2012-12-07 |