| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Capstone Financial (HK) Limited | Rep | 就證券提供意見 | 2013-04-29 | 2014-05-31 |
| PHILIPPA HUCKLE GROUP LIMITED, THE (TRADING AS ARIA FORUM WEALTH MANAGEMENT) | Rep | 就證券提供意見 | 2012-10-15 | 2012-12-10 |
| Rep | 提供資產管理 | 2012-10-15 | 2012-12-10 | |
| Rep | 證券交易 | 2012-10-15 | 2012-12-10 |