| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Open Securities Limited | Rep | 證券交易 | 2012-09-14 | 2013-04-30 |
| Rich Union Securities (H.K.) Limited | Rep | 證券交易 | 2012-07-03 | 2012-07-31 |
| Yuanta Asia Investment (Hong Kong) Limited | Rep | 槓桿式外匯交易 | 2009-03-04 | 2012-06-01 |
| Rep | 證券交易 | 2008-03-28 | 2012-06-01 | |
| Rep | 期貨合約交易 | 2007-01-16 | 2007-11-09 | |
| Rep | 證券交易 | 2006-06-13 | 2007-11-09 |