| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| PRUDENTIAL BROKERAGE LIMITED | Rep | 證券交易 | 2008-08-19 | 2009-01-14 |
| Tensant Securities Limited | Rep | 證券交易 | 2006-03-07 | 2008-05-19 |
| CHINA SECURITIES HOLDINGS LIMITED | Rep | 就機構融資提供意見 | - | 2005-01-25 |
| Rep | 就證券提供意見 | - | 2005-01-25 | |
| Rep | 提供資產管理 | - | 2005-01-25 | |
| Rep | 證券交易 | - | 2005-03-31 |