| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Hong Kong Securities (International) Company Limited | Rep | 證券交易 | 2010-11-05 | 2011-06-30 |
| ASSET MANAGEMENT GROUP LIMITED | Rep | 就證券提供意見 | 2010-10-18 | - |
| Rep | 證券交易 | 2010-10-18 | - | |
| HAYWOOD INTERNATIONAL FINANCIAL PLANNING LIMITED | RO | 就證券提供意見 | 2005-02-03 | 2010-04-30 |
| Rep | 就機構融資提供意見 | 2003-04-01 | 2003-08-14 | |
| Rep | 提供資產管理 | 2003-04-01 | 2003-08-14 | |
| Rep | 就證券提供意見 | 2003-04-01 | 2005-02-03 |