| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| BOCI ASIA LIMITED | Rep | 就機構融資提供意見 | 2010-06-23 | 2015-03-04 |
| Rep | 證券交易 | 2010-06-23 | 2015-03-04 | |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 證券交易 | 2008-02-22 | 2009-08-01 |
| SG SECURITIES (HK) LIMITED | Rep | 證券交易 | 2007-07-03 | 2008-01-19 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 證券交易 | 2006-07-17 | 2006-08-21 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 期貨合約交易 | 2005-12-15 | 2006-08-21 |