| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| ORIENT SECURITIES LIMITED | RO | 就證券提供意見 | 2008-02-15 | 2010-01-25 |
| RO | 證券交易 | 2008-02-15 | 2010-01-25 | |
| Rep | 證券交易 | 2007-03-01 | 2008-02-15 | |
| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | 證券交易 | 2005-05-06 | 2006-03-01 |
| CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2005-05-06 | 2006-03-01 |
| JVSakk Asia Limited | Rep | 就機構融資提供意見 | - | 2003-11-24 |
| Rep | 就證券提供意見 | - | 2003-11-24 | |
| Rep | 提供資產管理 | - | 2003-11-24 | |
| Rep | 證券交易 | - | 2005-05-03 |