| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| FTL Wealth Management (HK) Limited | Rep | 就證券提供意見 | 2008-04-17 | 2009-02-08 |
| AIA WEALTH MANAGEMENT COMPANY LIMITED | Rep | 就證券提供意見 | 2003-11-13 | 2007-11-20 |
| Rep | 就機構融資提供意見 | - | 2003-07-24 | |
| Rep | 就證券提供意見 | - | 2003-07-24 | |
| Rep | 提供資產管理 | - | 2003-07-24 | |
| Rep | 證券交易 | - | 2003-07-24 |