| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SDIC SECURITIES (HONG KONG) LIMITED | RO | 就證券提供意見 | 2011-11-01 | - |
| ICBC INTERNATIONAL RESEARCH LIMITED | RO | 就證券提供意見 | 2009-07-10 | 2010-12-22 |
| ICBC INTERNATIONAL SECURITIES LIMITED | Rep | 證券交易 | 2009-05-13 | 2009-07-14 |
| ICEA SECURITIES ASIA LIMITED | RO | 就證券提供意見 | 2006-05-19 | 2009-04-30 |
| Rep | 就機構融資提供意見 | 2003-04-01 | 2004-01-12 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-01-12 | |
| Rep | 證券交易 | 2003-04-01 | 2004-01-12 | |
| Rep | 就證券提供意見 | 2003-04-01 | 2006-05-19 |