| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Quam Securities Limited | Rep | 證券交易 | 2011-05-06 | 2011-06-01 |
| ENLIGHTEN SECURITIES LIMITED | Rep | 證券交易 | 2009-02-04 | 2011-04-30 |
| PIPER JAFFRAY ASIA SECURITIES LIMITED | Rep | 證券交易 | 2005-08-26 | 2009-01-31 |
| GET NICE SECURITIES LIMITED | Rep | 證券交易 | 2005-06-01 | 2005-08-25 |
| GREAT BAY SECURITIES LIMITED | Rep | 就機構融資提供意見 | - | 2004-02-03 |
| Rep | 就證券提供意見 | - | 2004-02-03 | |
| Rep | 提供資產管理 | - | 2004-02-03 | |
| Rep | 證券交易 | - | 2005-05-31 |