| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| PHILIPPA HUCKLE GROUP LIMITED, THE (TRADING AS ARIA FORUM WEALTH MANAGEMENT) | Rep | 就證券提供意見 | 2009-06-15 | 2009-12-31 |
| Rep | 提供資產管理 | 2009-06-15 | 2009-12-31 | |
| BARCLAYS CAPITAL ASIA LIMITED | RO | 就機構融資提供意見 | 2004-12-02 | 2006-03-03 |
| RO | 證券交易 | 2004-12-02 | 2006-03-03 | |
| Rep | 就證券提供意見 | - | 2004-08-31 | |
| Rep | 提供資產管理 | - | 2004-08-31 | |
| Rep | 就機構融資提供意見 | - | 2004-12-02 | |
| Rep | 證券交易 | - | 2004-12-02 |