| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| iBest Consultants Limited | Rep | 就證券提供意見 | 2009-08-10 | 2011-11-19 |
| Rep | 證券交易 | 2009-05-29 | 2011-11-19 | |
| CES Commodities (HK) Limited | Rep | 期貨合約交易 | 2008-02-29 | 2009-05-08 |
| Everbright Securities Investment Services (HK) Limited | Rep | 證券交易 | 2008-02-29 | 2009-05-08 |
| ALTRUIST FINANCIAL GROUP LIMITED | Rep | 就證券提供意見 | 2006-05-30 | 2008-01-11 |
| Lion Global Financial Limited | Rep | 就證券提供意見 | 2005-09-12 | 2006-02-13 |
| Rep | 就證券提供意見 | 2004-11-19 | 2005-04-11 |