| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SINO-RICH SECURITIES & FUTURES LIMITED | RO | 期貨合約交易 | 2015-11-13 | - |
| RO | 證券交易 | 2015-11-13 | - | |
| Rep | 期貨合約交易 | 2011-03-21 | 2015-11-13 | |
| Rep | 證券交易 | 2011-03-21 | 2015-11-13 | |
| CES Forex (HK) Limited | Rep | 槓桿式外匯交易 | 2007-05-25 | 2011-03-09 |
| Everbright Securities Investment Services (HK) Limited | Rep | 證券交易 | 2006-03-23 | 2011-03-09 |
| SHUN LOONG SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2006-03-23 | 2010-04-12 |
| CES Commodities (HK) Limited | Rep | 期貨合約交易 | 2006-02-03 | 2011-03-09 |
| SHUN LOONG FUTURES LIMITED | Rep | 期貨合約交易 | 2005-07-26 | 2010-04-12 |