| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| FORMAX SECURITIES LIMITED | Rep | 證券交易 | 2017-05-26 | 2018-06-22 |
| RHB SECURITIES HONG KONG LIMITED | Rep | 證券交易 | 2016-12-01 | 2017-04-13 |
| KGI ASIA LIMITED | Rep | 證券交易 | 2011-09-30 | 2016-11-24 |
| Tung Shing Futures (Brokers) Limited | Rep | 期貨合約交易 | - | 2004-10-26 |
| Tung Shing Securities (Brokers) Limited | Rep | 就機構融資提供意見 | - | 2004-01-10 |
| Rep | 就證券提供意見 | - | 2004-01-10 | |
| Rep | 提供資產管理 | - | 2004-01-10 | |
| Rep | 證券交易 | - | 2011-09-22 |