| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| DTC Investment Management (HK) Limited | Rep | 提供資產管理 | 2014-01-13 | 2016-03-01 |
| Rep | 證券交易 | 2014-01-13 | 2016-03-01 | |
| UOB KAY HIAN FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2012-03-30 | 2013-12-20 |
| UOB KAY HIAN (HONG KONG) LIMITED | Rep | 證券交易 | 2011-01-06 | 2013-12-20 |