| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| GALAXY ASSET MANAGEMENT (H.K.) LIMITED | Rep | 就期貨合約提供意見 | 2015-07-28 | 2023-11-28 |
| Rep | 就證券提供意見 | 2015-07-28 | 2023-11-28 | |
| Rep | 提供資產管理 | 2015-07-28 | 2023-11-28 | |
| Rep | 就證券提供意見 | 2010-02-03 | 2011-09-01 | |
| Rep | 提供資產管理 | 2010-02-03 | 2011-09-01 | |
| Odysseus Capital Asia Limited | RO | 就機構融資提供意見 | 2009-10-29 | 2014-07-29 |
| DBS ASIA CAPITAL LIMITED | Rep | 就機構融資提供意見 | 2005-10-07 | 2006-05-26 |
| Rep | 就證券提供意見 | 2005-10-07 | 2006-05-26 | |
| Rep | 證券交易 | 2005-10-07 | 2006-05-26 | |
| CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED | Rep | 提供資產管理 | - | 2003-12-31 |
| Rep | 就證券提供意見 | - | 2004-07-30 | |
| Rep | 就機構融資提供意見 | - | 2005-09-27 | |
| Rep | 證券交易 | - | 2005-09-27 |