| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| GETTA SECURITIES LIMITED | Rep | 就證券提供意見 | 2008-06-18 | 2011-08-19 |
| Rep | 證券交易 | 2007-06-07 | 2011-08-19 | |
| PIPER JAFFRAY ASIA SECURITIES LIMITED | Rep | 證券交易 | 2004-10-04 | 2007-05-26 |
| GREAT BAY SECURITIES LIMITED | Rep | 就機構融資提供意見 | - | 2003-07-30 |
| Rep | 就證券提供意見 | - | 2003-07-30 | |
| Rep | 提供資產管理 | - | 2003-07-30 | |
| Rep | 證券交易 | - | 2004-08-10 |