| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| KRISTAL ADVISORS (HK) LIMITED | Rep | 就證券提供意見 | 2017-02-20 | 2020-02-29 |
| Rep | 提供資產管理 | 2017-02-20 | 2020-02-29 | |
| LEHMAN BROTHERS ASIA LIMITED | Rep | 期貨合約交易 | 2007-08-16 | 2007-09-24 |
| Rep | 證券交易 | 2007-08-16 | 2007-09-24 | |
| LEHMAN BROTHERS SECURITIES ASIA LIMITED | Rep | 證券交易 | 2007-08-16 | 2007-09-24 |