| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| STOCKWELL SECURITIES LIMITED | Rep | 證券交易 | 2006-05-09 | 2008-01-11 |
| UOB KAY HIAN FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2003-07-10 | 2006-05-01 |
| UOB KAY HIAN (HONG KONG) LIMITED | Rep | 就機構融資提供意見 | - | 2003-07-09 |
| Rep | 就證券提供意見 | - | 2003-07-09 | |
| Rep | 證券交易 | - | 2006-05-01 |