| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| FTL Wealth Management (HK) Limited | Rep | 就證券提供意見 | 2007-12-19 | 2010-11-30 |
| AIA WEALTH MANAGEMENT COMPANY LIMITED | Rep | 就證券提供意見 | 2005-04-07 | 2007-06-14 |
| Manulife Investment Management (Hong Kong) Limited | Rep | 就機構融資提供意見 | - | 2004-02-04 |
| Rep | 就證券提供意見 | - | 2004-02-04 | |
| Rep | 提供資產管理 | - | 2004-02-04 | |
| Rep | 證券交易 | - | 2004-02-04 |