| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CLSA LIMITED | Rep | 證券交易 | 2008-09-18 | 2009-12-31 |
| ETRADE SECURITIES (HONG KONG) LIMITED | RO | 就證券提供意見 | 2006-05-09 | 2007-11-09 |
| RO | 證券交易 | 2006-05-09 | 2007-11-09 | |
| ETRADE SECURITIES LIMITED | RO | 就證券提供意見 | 2006-05-09 | 2007-10-31 |
| RO | 證券交易 | 2006-05-09 | 2007-10-31 | |
| Virtu ITG Hong Kong Limited | Rep | 提供自動化交易服務 | 2004-03-01 | 2006-03-31 |
| Rep | 證券交易 | 2004-03-01 | 2006-03-31 | |
| HOENIG (FAR EAST) LIMITED | Rep | 就機構融資提供意見 | - | 2004-02-19 |
| Rep | 提供資產管理 | - | 2004-02-19 | |
| Rep | 就證券提供意見 | - | 2004-02-29 |