| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CLSA LIMITED | Rep | 證券交易 | 2015-01-06 | - |
| Rep | 就證券提供意見 | 2015-01-06 | 2021-07-20 | |
| CITIC Securities (Hong Kong) Limited | Rep | 就機構融資提供意見 | 2011-10-26 | - |
| Rep | 就證券提供意見 | 2011-10-26 | - | |
| ROTHSCHILD & CO WEALTH MANAGEMENT HONG KONG LIMITED | RO | 就證券提供意見 | 2010-08-16 | 2011-06-01 |
| RO | 證券交易 | 2010-08-16 | 2011-06-01 | |
| ROTHSCHILD & CO HONG KONG LIMITED | Rep | 就證券提供意見 | 2009-06-11 | 2010-08-16 |
| Rep | 證券交易 | 2009-06-11 | 2010-08-16 | |
| NEW STAR INTERNATIONAL INVESTMENT PRODUCTS (ASIA) LIMITED | RO | 就證券提供意見 | 2008-03-28 | 2009-03-31 |
| RO | 證券交易 | 2008-03-28 | 2009-03-31 | |
| Rep | 就證券提供意見 | 2007-06-04 | 2008-03-28 | |
| Rep | 證券交易 | 2007-06-04 | 2008-03-28 |
已採集記錄中暫無金管局登記。