| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CES Commodities (HK) Limited | Rep | 期貨合約交易 | 2008-09-12 | 2011-09-25 |
| Everbright Securities Investment Services (HK) Limited | Rep | 證券交易 | 2003-09-29 | 2011-09-25 |
| Broadway Wealth Management Limited | Rep | 就機構融資提供意見 | - | 2003-06-29 |
| Rep | 就證券提供意見 | - | 2003-06-29 | |
| Rep | 提供資產管理 | - | 2003-06-29 |