| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Harvest Global Capital Investments Limited | Rep | 就證券提供意見 | 2020-01-29 | 2021-03-09 |
| Rep | 提供資產管理 | 2020-01-29 | 2021-03-09 | |
| Rep | 證券交易 | 2019-11-21 | 2021-03-09 | |
| SR Wealth Securities Limited | Rep | 證券交易 | 2019-02-13 | 2019-03-18 |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | 期貨合約交易 | 2015-06-01 | 2015-11-23 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2015-06-01 | 2015-11-23 |
| CES Commodities (HK) Limited | Rep | 期貨合約交易 | 2010-11-15 | 2012-08-28 |
| Everbright Securities Investment Services (HK) Limited | Rep | 證券交易 | 2010-11-15 | 2012-08-28 |