| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Yuanta Securities (Hong Kong) Company Limited | Rep | 期貨合約交易 | 2012-06-20 | - |
| Rep | 證券交易 | 2012-06-20 | - | |
| Yuanta Asia Investment (Hong Kong) Limited | Rep | 期貨合約交易 | 2007-09-17 | 2013-04-26 |
| Rep | 就證券提供意見 | 2003-04-01 | 2003-08-13 | |
| Rep | 提供資產管理 | 2003-04-01 | 2003-08-13 | |
| Rep | 就機構融資提供意見 | 2003-04-01 | 2003-12-19 | |
| Rep | 證券交易 | 2003-04-01 | 2013-04-26 |