| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| BCT Financial Limited | Rep | 就證券提供意見 | 2016-03-15 | - |
| Rep | 證券交易 | 2016-03-15 | - | |
| Sun Life Hong Kong Limited | Rep | 就證券提供意見 | 2007-04-10 | 2007-08-11 |
| AXA CHINA REGION INVESTMENT SERVICES LIMITED | Rep | 就證券提供意見 | 2006-08-31 | 2006-10-21 |
| HSBC LIFE (INTERNATIONAL) LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-05-17 |
| Rep | 提供資產管理 | 2003-04-01 | 2004-05-17 | |
| Rep | 就證券提供意見 | 2003-04-01 | 2006-07-22 |