| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| MIDLAND WEALTH MANAGEMENT LIMITED | RO | 就證券提供意見 | 2008-02-18 | 2010-08-01 |
| RO | 證券交易 | 2008-02-18 | 2010-08-01 | |
| Quam Securities Limited | RO | 就證券提供意見 | 2005-06-30 | 2007-08-17 |
| Rep | 就證券提供意見 | 2004-11-23 | 2005-06-30 | |
| CINDA INTERNATIONAL INVESTMENT CONSULTANT LIMITED | Rep | 就機構融資提供意見 | - | 2003-12-18 |
| Rep | 提供資產管理 | - | 2003-12-18 | |
| Rep | 就證券提供意見 | - | 2004-11-16 |