| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SAMSUNG SECURITIES (ASIA) LIMITED | Rep | 證券交易 | 2010-08-09 | 2011-01-28 |
| MILLENNIUM CAPITAL MANAGEMENT (HONG KONG) LIMITED | Rep | 提供資產管理 | 2008-09-05 | 2009-09-11 |
| Credit Suisse (Hong Kong) Limited | Rep | 證券交易 | 2007-07-13 | 2008-05-16 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | 提供自動化交易服務 | 2007-07-13 | 2008-05-16 |
| Rep | 期貨合約交易 | 2007-07-13 | 2008-05-16 | |
| Credit Suisse (Hong Kong) Limited | Rep | 就證券提供意見 | 2005-08-18 | 2007-06-26 |
| HSBC SECURITIES (ASIA) LIMITED | Rep | 就機構融資提供意見 | - | 2003-12-10 |
| Rep | 提供資產管理 | - | 2003-12-10 | |
| Rep | 就證券提供意見 | - | 2005-08-10 |