| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| GaoTeng Global Asset Management Limited | RO | 證券交易 | 2024-01-16 | 2025-05-30 |
| RO | 就證券提供意見 | 2018-06-14 | 2025-05-30 | |
| RO | 提供資產管理 | 2018-05-23 | 2025-05-30 | |
| Rep | 提供資產管理 | 2017-11-21 | 2018-05-23 | |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2011-10-07 | 2017-07-05 |
| Rep | 證券交易 | 2011-10-07 | 2017-07-05 | |
| Rep | 期貨合約交易 | 2008-10-10 | 2009-06-01 | |
| Rep | 證券交易 | 2008-10-10 | 2009-06-01 | |
| LEHMAN BROTHERS ASIA LIMITED | Rep | 期貨合約交易 | 2008-01-18 | 2008-09-29 |
| Rep | 證券交易 | 2008-01-18 | 2008-09-29 |