| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| ZHONGCAI ASSET MANAGEMENT LIMITED | RO | 證券交易 | 2017-01-18 | - |
| Zhongcai Securities Limited | RO | 證券交易 | 2014-12-19 | - |
| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | 證券交易 | 2014-07-17 | 2014-08-21 |
| CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2014-07-17 | 2014-08-21 |
| Telecom King Securities Limited | RO | 證券交易 | 2007-10-17 | 2014-07-01 |
| Waton Securities International Limited | RO | 證券交易 | 2007-03-15 | 2007-07-17 |
| Rep | 就機構融資提供意見 | 2003-04-01 | 2004-12-07 | |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-12-07 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-12-07 | |
| Rep | 證券交易 | 2003-04-01 | 2006-07-31 |