| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Oracle Capital Limited | RO | 就證券提供意見 | 2009-10-22 | 2015-03-31 |
| RO | 提供資產管理 | 2009-08-17 | 2015-03-31 | |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2008-10-10 | 2009-03-06 |
| Rep | 證券交易 | 2008-10-10 | 2009-03-06 | |
| LEHMAN BROTHERS ASIA LIMITED | Rep | 期貨合約交易 | 2005-12-07 | 2008-09-29 |
| Rep | 證券交易 | 2005-12-07 | 2008-09-29 |