| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Ark Securities (Hong Kong) Limited | Rep | 就證券提供意見 | 2014-05-02 | 2014-11-29 |
| Rep | 提供資產管理 | 2014-05-02 | 2014-11-29 | |
| Rep | 證券交易 | 2014-05-02 | 2014-11-29 | |
| PROVIDENT FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2014-05-02 | 2014-11-29 |
| Quam Securities Limited | Rep | 期貨合約交易 | 2013-03-14 | 2014-04-17 |
| Rep | 就證券提供意見 | 2012-09-24 | 2014-04-17 | |
| Rep | 提供資產管理 | 2012-09-24 | 2014-04-17 | |
| Rep | 證券交易 | 2012-09-24 | 2014-04-17 | |
| FWD Financial Planning Limited (HK) | Rep | 證券交易 | 2011-03-08 | 2012-09-03 |
| Rep | 就證券提供意見 | 2008-10-02 | 2012-09-03 |