| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| IAM LEGACY LIMITED | Rep | 提供資產管理 | 2009-03-23 | 2010-02-11 |
| Kaiser KT Capital Limited | Rep | 就機構融資提供意見 | 2009-03-23 | 2010-02-11 |
| IAM LEGACY LIMITED | Rep | 就證券提供意見 | 2009-03-03 | 2010-12-25 |
| OnePlatform Asset Management Limited | Rep | 就證券提供意見 | 2008-03-20 | 2009-02-17 |
| CES Commodities (HK) Limited | Rep | 期貨合約交易 | 2007-12-19 | 2008-01-04 |
| Everbright Securities Investment Services (HK) Limited | Rep | 證券交易 | 2007-12-19 | 2008-01-04 |