| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| BOCOM International Securities Limited | Rep | 期貨合約交易 | 2017-08-15 | 2018-06-03 |
| Rep | 證券交易 | 2017-08-15 | 2018-06-03 | |
| SINOPAC SECURITIES (ASIA) LIMITED | Rep | 期貨合約交易 | 2017-02-13 | 2017-07-31 |
| Rep | 證券交易 | 2017-02-13 | 2017-07-31 | |
| Tung Shing Futures (Brokers) Limited | Rep | 期貨合約交易 | 2003-11-26 | 2017-02-12 |
| Tung Shing Securities (Brokers) Limited | Rep | 就機構融資提供意見 | - | 2003-09-22 |
| Rep | 就證券提供意見 | - | 2003-09-22 | |
| Rep | 提供資產管理 | - | 2003-09-22 | |
| Rep | 證券交易 | - | 2017-02-12 |