| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CNI Securities Group Limited | Rep | 證券交易 | 2015-04-30 | 2015-11-24 |
| Rep | 證券交易 | 2012-10-31 | 2014-10-31 | |
| GETTA SECURITIES LIMITED | Rep | 就證券提供意見 | 2008-05-13 | 2010-10-30 |
| Rep | 證券交易 | 2008-05-13 | 2010-10-30 | |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2007-12-04 | 2008-05-09 |
| Rep | 就證券提供意見 | 2007-11-08 | 2008-05-09 | |
| Sun Life Hong Kong Limited | Rep | 就證券提供意見 | 2003-10-09 | 2007-10-24 |
| Manulife Investment Management (Hong Kong) Limited | Rep | 就機構融資提供意見 | - | 2003-05-31 |
| Rep | 就證券提供意見 | - | 2003-05-31 | |
| Rep | 提供資產管理 | - | 2003-05-31 | |
| Rep | 證券交易 | - | 2003-05-31 |