| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SUNHIGH FINANCIAL HOLDINGS LIMITED | RO | 就證券提供意見 | 2017-06-02 | 2017-07-04 |
| RO | 提供資產管理 | 2017-06-02 | 2017-07-04 | |
| RO | 證券交易 | 2017-06-02 | 2017-07-04 | |
| CHINA EVERBRIGHT SECURITIES (HK) LIMITED | RO | 證券交易 | 2009-08-12 | 2010-09-23 |
| Rep | 證券交易 | 2009-04-28 | 2009-08-12 | |
| PIPER JAFFRAY ASIA SECURITIES LIMITED | RO | 就證券提供意見 | 2006-07-15 | 2009-04-01 |
| RO | 證券交易 | 2006-07-15 | 2009-04-01 | |
| SMBC NIKKO SECURITIES (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2006-04-10 | 2006-04-21 |
| Rep | 證券交易 | 2006-04-10 | 2006-04-21 | |
| SOUTH CHINA RESEARCH LIMITED | Rep | 就證券提供意見 | 2005-07-15 | 2006-04-08 |
| SOUTH CHINA SECURITIES LIMITED | Rep | 證券交易 | 2005-07-15 | 2006-04-08 |
| PIPER JAFFRAY ASIA SECURITIES LIMITED | RO | 就證券提供意見 | 2004-12-07 | 2005-07-14 |
| RO | 證券交易 | 2004-08-30 | 2005-07-14 | |
| Rep | 就機構融資提供意見 | 2004-01-27 | 2004-08-30 | |
| Rep | 證券交易 | 2004-01-27 | 2004-08-30 | |
| Polaris Capital (Asia) Limited | Rep | 就機構融資提供意見 | - | 2004-01-14 |
| Rep | 證券交易 | - | 2004-01-14 |
金管局記錄暫時無法載入，請稍後重試。