| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| A. H. INTERNATIONAL LIMITED | RO | 證券交易 | 2007-03-13 | 2011-03-14 |
| RO | 就證券提供意見 | 2006-03-22 | 2011-03-14 | |
| UOB KAY HIAN FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2004-12-17 | 2006-03-17 |
| UOB KAY HIAN (HONG KONG) LIMITED | Rep | 證券交易 | 2004-04-20 | 2006-03-17 |
| TISCO SECURITIES HONG KONG LIMITED | Rep | 就機構融資提供意見 | - | 2004-02-11 |
| Rep | 就證券提供意見 | - | 2004-02-11 | |
| Rep | 提供資產管理 | - | 2004-02-11 | |
| Rep | 證券交易 | - | 2004-03-30 |