| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CHIEF COMMODITIES LIMITED | Rep | 期貨合約交易 | 2021-05-24 | 2025-06-27 |
| CHIEF SECURITIES LIMITED | Rep | 就證券提供意見 | 2021-01-12 | 2025-06-27 |
| Rep | 提供資產管理 | 2021-01-12 | 2025-06-27 | |
| Rep | 證券交易 | 2021-01-12 | 2025-06-27 | |
| SINO-RICH SECURITIES & FUTURES LIMITED | Rep | 就證券提供意見 | 2018-05-10 | 2020-12-23 |
| Rep | 提供資產管理 | 2018-05-10 | 2020-12-23 | |
| Rep | 證券交易 | 2018-05-10 | 2020-12-23 | |
| UOB KAY HIAN (HONG KONG) LIMITED | Rep | 證券交易 | 2015-04-08 | 2015-08-26 |
| Success Securities Limited | Rep | 證券交易 | 2010-06-22 | 2015-03-25 |