| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| FULBRIGHT SECURITIES LIMITED | Rep | 證券交易 | 2010-01-22 | 2011-07-29 |
| BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED | Rep | 證券交易 | 2005-08-05 | 2007-02-08 |
| STOCKWELL SECURITIES LIMITED | Rep | 提供自動化交易服務 | - | 2003-07-07 |
| Rep | 就機構融資提供意見 | - | 2004-05-07 | |
| Rep | 就證券提供意見 | - | 2004-05-07 | |
| Rep | 提供資產管理 | - | 2004-05-07 | |
| Rep | 證券交易 | - | 2005-08-04 |