| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CNI Global Assets Management Limited (HK) | Rep | 提供資產管理 | 2019-07-17 | 2020-06-30 |
| CNI Securities Group Limited | Rep | 就證券提供意見 | 2019-07-17 | 2020-06-30 |
| Rep | 證券交易 | 2019-07-17 | 2020-06-30 | |
| Knight Capital Asia Limited | Rep | 證券交易 | 2013-02-25 | 2013-04-11 |
| SAMSUNG SECURITIES (ASIA) LIMITED | Rep | 就機構融資提供意見 | 2008-10-23 | 2009-07-23 |
| Rep | 就證券提供意見 | 2008-10-23 | 2009-07-23 | |
| Rep | 證券交易 | 2008-10-23 | 2009-07-23 |