| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2014-08-21 | 2015-06-02 |
| RO | 就機構融資提供意見 | 2014-08-05 | 2015-06-02 | |
| RO | 證券交易 | 2014-08-05 | 2015-06-02 | |
| Rep | 證券交易 | 2014-03-28 | 2014-08-05 | |
| CCB INTERNATIONAL CAPITAL LIMITED | Rep | 就機構融資提供意見 | 2014-02-27 | 2014-03-15 |
| Rep | 證券交易 | 2014-02-27 | 2014-03-15 | |
| CCB INTERNATIONAL SECURITIES LIMITED | Rep | 證券交易 | 2014-02-27 | 2014-03-15 |
| RBS Asia Corporate Finance Limited | RO | 就機構融資提供意見 | 2010-11-17 | 2011-01-01 |
| RO | 證券交易 | 2010-11-17 | 2011-01-01 | |
| Rep | 就機構融資提供意見 | 2009-02-27 | 2010-11-17 | |
| Rep | 證券交易 | 2009-02-27 | 2010-11-17 |