| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Blue Water Capital Management Limited | Rep | 就證券提供意見 | 2015-12-08 | 2017-05-04 |
| Rep | 提供資產管理 | 2015-12-08 | 2017-05-04 | |
| LEHMAN BROTHERS ASIA LIMITED | Rep | 期貨合約交易 | 2007-02-27 | 2008-02-01 |
| Rep | 證券交易 | 2007-02-27 | 2008-02-01 | |
| J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2006-07-28 | 2006-11-16 |
| Rep | 證券交易 | 2006-07-28 | 2006-11-16 |