| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2007-04-20 | 2007-09-01 |
| ABCI Securities Company Limited | Rep | 證券交易 | 2007-02-16 | 2007-04-12 |
| CELESTIAL SECURITIES LIMITED | Rep | 證券交易 | 2006-11-16 | 2007-01-26 |
| VC BROKERAGE LIMITED | Rep | 證券交易 | 2005-08-10 | 2006-11-05 |
| PRUDENTIAL BROKERAGE LIMITED | Rep | 就機構融資提供意見 | - | 2004-06-12 |
| Rep | 就證券提供意見 | - | 2004-06-12 | |
| Rep | 提供資產管理 | - | 2004-06-12 | |
| Rep | 提供自動化交易服務 | - | 2004-06-12 | |
| Rep | 證券交易 | - | 2005-08-08 |