| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Hong Kong Securities (International) Company Limited | RO | 證券交易 | 2009-07-23 | 2011-02-15 |
| GRAND CAPITAL ASIA LIMITED | RO | 證券交易 | 2008-05-13 | 2008-10-06 |
| Success Securities Limited | Rep | 證券交易 | 2007-06-26 | 2008-05-01 |
| CINDA INTERNATIONAL SECURITIES LIMITED | Rep | 就機構融資提供意見 | - | 2004-01-13 |
| Rep | 就證券提供意見 | - | 2004-01-13 | |
| Rep | 提供資產管理 | - | 2004-01-13 | |
| Rep | 提供自動化交易服務 | - | 2004-01-13 | |
| Rep | 證券交易 | - | 2007-05-22 |