| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| ROTHSCHILD & CO HONG KONG LIMITED | RO | 就證券提供意見 | 2014-05-27 | - |
| RO | 證券交易 | 2014-05-27 | - | |
| Rep | 就機構融資提供意見 | 2012-11-02 | - | |
| Rep | 就證券提供意見 | 2012-11-02 | 2014-05-27 | |
| Rep | 證券交易 | 2012-11-02 | 2014-05-27 | |
| Rep | 就機構融資提供意見 | 2011-01-18 | 2011-07-19 | |
| Rep | 就證券提供意見 | 2011-01-18 | 2011-07-19 | |
| Rep | 證券交易 | 2011-01-18 | 2011-07-19 |