| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| KEEFE, BRUYETTE & WOODS ASIA LIMITED | Rep | 就證券提供意見 | 2010-03-04 | 2012-06-25 |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 就機構融資提供意見 | 2008-10-10 | 2009-07-01 |
| Rep | 就證券提供意見 | 2008-10-10 | 2009-07-01 | |
| Rep | 證券交易 | 2008-10-10 | 2009-07-01 | |
| LEHMAN BROTHERS ASIA LIMITED | Rep | 就機構融資提供意見 | 2008-04-02 | 2008-09-29 |
| Rep | 就證券提供意見 | 2008-04-02 | 2008-09-29 | |
| Rep | 證券交易 | 2008-04-02 | 2008-09-29 |