| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| ALLY BRIDGE GROUP (HK) LIMITED | Rep | 提供資產管理 | 2015-09-22 | 2018-03-31 |
| BARCLAYS CAPITAL ASIA LIMITED | RO | 就機構融資提供意見 | 2014-01-30 | 2014-06-04 |
| RO | 證券交易 | 2014-01-30 | 2014-06-04 | |
| Rep | 就機構融資提供意見 | 2011-07-11 | 2014-01-30 | |
| Rep | 證券交易 | 2011-07-11 | 2014-01-30 | |
| Morgan Stanley Asia Limited | Rep | 就機構融資提供意見 | 2007-04-10 | 2011-04-18 |
| Rep | 證券交易 | 2007-04-10 | 2011-04-18 | |
| Citigroup Global Markets Asia Limited | Rep | 就機構融資提供意見 | 2005-07-07 | 2005-09-03 |
| Rep | 證券交易 | 2005-07-07 | 2005-09-03 | |
| CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | 證券交易 | 2005-07-07 | 2005-09-03 |