| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Hongkong Bay Securities Limited | RO | 證券交易 | 2008-09-16 | 2013-01-25 |
| Rep | 證券交易 | 2006-07-01 | 2008-09-16 | |
| AuVantage Consultancy Limited | Rep | 就機構融資提供意見 | - | 2004-02-24 |
| Rep | 提供資產管理 | - | 2004-02-24 | |
| Rep | 提供證券保證金融資 | - | 2004-02-24 | |
| Rep | 就證券提供意見 | - | 2006-06-30 | |
| Rep | 證券交易 | - | 2006-06-30 | |
| MAGUSTA FUTURES LIMITED | Rep | 就期貨合約提供意見 | - | 2004-02-24 |
| Rep | 提供資產管理 | - | 2004-02-24 | |
| Rep | 期貨合約交易 | - | 2005-03-17 |