| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Quam Securities Limited | Rep | 期貨合約交易 | 2014-05-26 | 2020-01-17 |
| Rep | 就證券提供意見 | 2013-07-22 | 2020-01-17 | |
| Rep | 提供資產管理 | 2013-07-22 | 2020-01-17 | |
| Rep | 證券交易 | 2013-07-22 | 2020-01-17 | |
| HARRIS FRASER (INTERNATIONAL) LIMITED | Rep | 提供自動化交易服務 | 2011-04-11 | 2011-08-30 |
| Rep | 提供資產管理 | 2011-04-11 | 2013-06-13 | |
| Rep | 證券交易 | 2011-04-11 | 2013-06-13 | |
| Rep | 就證券提供意見 | 2011-03-15 | 2013-06-13 | |
| FWD Financial Planning Limited (HK) | Rep | 就證券提供意見 | 2009-08-20 | 2011-02-21 |