| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| WINTONE SECURITIES LIMITED | RO | 證券交易 | 2016-05-17 | 2021-03-31 |
| Rep | 期貨合約交易 | 2009-12-15 | 2011-04-08 | |
| Rep | 證券交易 | 2006-12-21 | 2016-05-17 | |
| BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED | Rep | 證券交易 | 2005-08-11 | 2006-12-08 |
| Tung Shing Securities (Brokers) Limited | Rep | 就機構融資提供意見 | - | 2004-01-09 |
| Rep | 就證券提供意見 | - | 2004-01-09 | |
| Rep | 提供資產管理 | - | 2004-01-09 | |
| Rep | 證券交易 | - | 2005-08-08 |