| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Calibration Partners (Hong Kong) Limited | Rep | 就證券提供意見 | 2019-04-26 | 2020-03-13 |
| Rep | 就機構融資提供意見 | 2019-04-02 | 2020-03-13 | |
| HSBC Corporate Finance (Hong Kong) Limited | RO | 就機構融資提供意見 | 2017-12-20 | 2018-10-04 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 就機構融資提供意見 | 2005-04-22 | 2005-07-14 |
| Merrill Lynch Far East Limited | Rep | 就機構融資提供意見 | 2005-04-22 | 2005-07-14 |
| Rep | 就證券提供意見 | 2005-04-22 | 2005-07-14 | |
| Rep | 證券交易 | 2005-04-22 | 2005-07-14 | |
| Merrill Lynch (Asia Pacific) Limited | Rep | 就證券提供意見 | 2004-06-28 | 2005-07-14 |
| Rep | 證券交易 | 2004-06-28 | 2005-07-14 |