| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED | Rep | 就證券提供意見 | 2012-09-19 | 2014-10-31 |
| Rep | 證券交易 | 2012-09-19 | 2014-10-31 | |
| RO | 就證券提供意見 | 2012-03-13 | 2012-09-19 | |
| RO | 證券交易 | 2012-03-13 | 2012-09-19 | |
| Rep | 就證券提供意見 | 2011-11-23 | 2012-03-13 | |
| Rep | 證券交易 | 2011-11-04 | 2012-03-13 | |
| Knight Capital Asia Limited | Rep | 就證券提供意見 | 2010-07-29 | 2011-08-04 |
| Rep | 證券交易 | 2010-07-29 | 2011-08-19 |