| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Standard Chartered Securities (Hong Kong) Limited | Rep | 就機構融資提供意見 | 2012-06-26 | 2017-01-31 |
| Rep | 就證券提供意見 | 2012-06-26 | 2017-01-31 | |
| Rep | 證券交易 | 2012-06-26 | 2017-01-31 | |
| Merrill Lynch (Asia Pacific) Limited | Rep | 就機構融資提供意見 | 2009-07-27 | 2011-09-01 |
| Rep | 就證券提供意見 | 2009-07-27 | 2011-09-01 | |
| Rep | 證券交易 | 2009-07-27 | 2011-09-01 | |
| Merrill Lynch Far East Limited | Rep | 就機構融資提供意見 | 2009-07-27 | 2011-09-01 |
| Rep | 就證券提供意見 | 2009-07-27 | 2011-09-01 | |
| Rep | 證券交易 | 2009-07-27 | 2011-09-01 |