| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| City Financial Investment Company (Hong Kong) Limited | Rep | 提供資產管理 | 2017-01-25 | 2017-08-18 |
| BALLINGAL INVESTMENT ADVISORS LIMITED | Rep | 就期貨合約提供意見 | 2009-11-13 | 2011-03-31 |
| Rep | 就證券提供意見 | 2009-11-13 | 2011-03-31 | |
| Rep | 提供資產管理 | 2009-11-13 | 2011-03-31 | |
| MACQUARIE CAPITAL LIMITED | Rep | 就證券提供意見 | 2008-03-03 | 2008-11-03 |