| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2014-01-07 | - |
| Anli Securities Limited | RO | 證券交易 | 2004-09-25 | 2013-12-27 |
| Rep | 就機構融資提供意見 | 2003-04-01 | 2004-07-19 | |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-07-19 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-07-19 | |
| Rep | 證券交易 | 2003-04-01 | 2004-09-25 |