| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| KGI ASIA LIMITED | Rep | 證券交易 | 2011-01-06 | 2011-01-31 |
| VC BROKERAGE LIMITED | Rep | 證券交易 | 2010-02-03 | 2011-01-01 |
| KGI ASIA LIMITED | Rep | 證券交易 | 2006-09-27 | 2010-01-26 |
| PRUDENTIAL BROKERAGE LIMITED | Rep | 就機構融資提供意見 | - | 2004-06-08 |
| Rep | 就證券提供意見 | - | 2004-06-08 | |
| Rep | 提供資產管理 | - | 2004-06-08 | |
| Rep | 提供自動化交易服務 | - | 2004-06-08 | |
| Rep | 證券交易 | - | 2006-09-18 |