| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| ASSET MANAGEMENT GROUP LIMITED | Rep | 就證券提供意見 | 2011-09-28 | 2012-02-01 |
| Rep | 證券交易 | 2011-09-28 | 2012-02-01 | |
| CINDA INTERNATIONAL INVESTMENT MANAGEMENT LIMITED | Rep | 槓桿式外匯交易 | 2009-02-26 | 2010-03-31 |
| CINDA INTERNATIONAL INVESTMENT CONSULTANT LIMITED | Rep | 就證券提供意見 | 2007-09-12 | 2010-06-30 |
| CINDA INTERNATIONAL SECURITIES LIMITED | Rep | 證券交易 | 2007-09-12 | 2011-07-02 |