| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Credit Suisse (Hong Kong) Limited | Rep | 就機構融資提供意見 | 2009-06-03 | 2012-08-25 |
| Rep | 就證券提供意見 | 2009-06-03 | 2012-08-25 | |
| Rep | 證券交易 | 2007-11-02 | 2012-08-25 | |
| LEHMAN BROTHERS ASIA LIMITED | Rep | 證券交易 | 2006-08-21 | 2007-06-19 |
| Rep | 就證券提供意見 | 2004-04-26 | 2007-06-19 |