| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| UOB KAY HIAN (HONG KONG) LIMITED | RO | 就機構融資提供意見 | 2012-05-18 | - |
| RO | 就證券提供意見 | 2012-05-18 | - | |
| RO | 證券交易 | 2012-05-18 | - | |
| Rep | 就機構融資提供意見 | 2012-02-28 | 2012-05-18 | |
| Rep | 就證券提供意見 | 2012-02-28 | 2012-05-18 | |
| Rep | 證券交易 | 2012-02-28 | 2012-05-18 | |
| Octal Capital Limited | RO | 證券交易 | 2011-11-24 | 2012-01-03 |
| RO | 就機構融資提供意見 | 2011-06-01 | 2012-01-03 | |
| Standard Chartered Securities (Hong Kong) Limited | RO | 就證券提供意見 | 2005-08-01 | 2009-06-30 |
| RO | 就機構融資提供意見 | 2003-04-01 | 2009-06-30 | |
| RO | 證券交易 | 2003-04-01 | 2009-06-30 |