| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| oOo Securities (HK) Group Limited | RO | 就證券提供意見 | 2016-07-19 | 2016-12-09 |
| RO | 證券交易 | 2016-07-19 | 2016-12-09 | |
| UBS SECURITIES HONG KONG LIMITED | Rep | 就機構融資提供意見 | 2012-06-07 | 2016-01-30 |
| PRICEWATERHOUSECOOPERS CORPORATE FINANCE LIMITED | Rep | 就機構融資提供意見 | 2009-09-03 | 2010-10-22 |
| Citigroup Global Markets Asia Limited | Rep | 就機構融資提供意見 | 2005-10-25 | 2008-11-21 |
| Rep | 證券交易 | 2005-10-25 | 2008-11-21 | |
| CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | 證券交易 | 2005-10-25 | 2008-11-21 |