| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| IAM LEGACY LIMITED | Rep | 就證券提供意見 | 2009-05-14 | 2009-09-17 |
| LEHMAN BROTHERS ASIA LIMITED | Rep | 就證券提供意見 | 2007-02-06 | 2009-03-24 |
| Rep | 證券交易 | 2007-02-06 | 2009-03-24 | |
| Citigroup Global Markets Asia Limited | Rep | 就機構融資提供意見 | 2004-09-24 | 2005-11-28 |
| Rep | 證券交易 | 2004-09-24 | 2005-11-28 | |
| CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | 證券交易 | 2004-09-24 | 2005-11-28 |