| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Dragon Financial Partners Limited | RO | 就機構融資提供意見 | 2016-11-28 | - |
| RO | 證券交易 | 2016-11-28 | - | |
| BARCLAYS CAPITAL ASIA LIMITED | Rep | 證券交易 | 2009-11-03 | 2016-01-21 |
| Rep | 就機構融資提供意見 | 2009-10-12 | 2016-01-21 | |
| Rep | 就證券提供意見 | 2009-10-12 | 2016-01-21 | |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 就機構融資提供意見 | 2008-10-10 | 2009-08-25 |
| Rep | 就證券提供意見 | 2008-10-10 | 2009-08-25 | |
| LEHMAN BROTHERS ASIA LIMITED | Rep | 就機構融資提供意見 | 2008-06-05 | 2008-09-29 |
| Rep | 就證券提供意見 | 2008-06-05 | 2008-09-29 |