| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Dantai Capital Limited (HK) | RO | 提供資產管理 | 2017-04-07 | - |
| SENRIGAN CAPITAL GROUP LIMITED | Rep | 提供資產管理 | 2010-05-14 | 2016-11-30 |
| ICAP Equities Asia Limited | Rep | 就證券提供意見 | 2009-10-12 | 2010-04-28 |
| GEOMATRIX (H.K.) LIMITED | Rep | 提供資產管理 | 2008-04-03 | 2009-07-31 |
| INSTINET PACIFIC LIMITED | Rep | 就證券提供意見 | 2007-12-21 | 2008-03-14 |
| Rep | 提供自動化交易服務 | 2007-12-21 | 2008-03-14 | |
| Rep | 證券交易 | 2007-12-21 | 2008-03-14 | |
| UBS SECURITIES ASIA LIMITED | Rep | 期貨合約交易 | 2005-01-06 | 2006-11-04 |
| Rep | 證券交易 | 2005-01-06 | 2006-11-04 |