| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| EMPEROR SECURITIES LIMITED (HK) | Rep | 證券交易 | 2005-11-07 | 2007-02-06 |
| WING FUNG SECURITIES LIMITED | Rep | 證券交易 | 2005-06-21 | 2005-09-26 |
| MIB SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2003-07-03 | 2003-11-10 |
| Success Securities Limited | Rep | 就機構融資提供意見 | - | 2003-05-15 |
| Rep | 就證券提供意見 | - | 2003-05-15 | |
| Rep | 提供資產管理 | - | 2003-05-15 | |
| Rep | 證券交易 | - | 2003-05-15 |