| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| GETTA SECURITIES LIMITED | Rep | 證券交易 | 2009-05-25 | 2009-11-30 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2006-11-17 | 2009-04-25 |
| Rep | 就證券提供意見 | 2006-11-02 | 2008-06-30 | |
| Sun Life Hong Kong Limited | Rep | 就機構融資提供意見 | - | 2005-01-28 |
| Rep | 提供資產管理 | - | 2005-01-28 | |
| Rep | 就證券提供意見 | - | 2006-10-11 |