| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED | Rep | 就機構融資提供意見 | 2016-10-14 | 2017-01-12 |
| Rep | 就證券提供意見 | 2016-10-14 | 2017-01-12 | |
| Rep | 證券交易 | 2016-10-14 | 2017-01-12 | |
| Moody's Investors Service Hong Kong Limited | Rep | 提供信貸評級服務 | 2012-11-29 | 2013-06-01 |
| Daiwa Capital Markets Hong Kong Limited | Rep | 證券交易 | 2012-04-11 | 2012-04-27 |
| ICBC INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2011-02-09 | 2011-03-31 |
| ICBC INTERNATIONAL SECURITIES LIMITED | Rep | 證券交易 | 2011-02-09 | 2011-03-31 |