| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| TONGYANG SECURITIES HONG KONG LIMITED | RO | 就證券提供意見 | 2011-12-23 | 2013-03-15 |
| RO | 證券交易 | 2011-12-23 | 2013-03-15 | |
| Rep | 就證券提供意見 | 2011-10-10 | 2011-12-23 | |
| Rep | 證券交易 | 2011-10-10 | 2011-12-23 | |
| NH INVESTMENT & SECURITIES (H.K.) LIMITED | Rep | 就證券提供意見 | 2010-11-01 | 2011-08-31 |
| Rep | 證券交易 | 2010-11-01 | 2011-08-31 | |
| TVG CAPITAL PARTNERS LIMITED | Rep | 提供資產管理 | 2010-01-05 | 2010-06-01 |
| Rep | 就證券提供意見 | 2007-09-05 | 2010-06-01 |