| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| FULBRIGHT SECURITIES LIMITED | Rep | 證券交易 | 2008-11-12 | - |
| EMPEROR SECURITIES LIMITED (HK) | Rep | 證券交易 | 2008-03-28 | 2008-11-01 |
| HONG KONG FOREX INVESTMENT LIMITED | Rep | 槓桿式外匯交易 | 2003-04-01 | 2007-09-10 |
| TSE'S SECURITIES LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-04-22 |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-04-22 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-04-22 | |
| Rep | 證券交易 | 2003-04-01 | 2008-03-13 |