| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CGS International Securities Hong Kong Limited | RO | 證券交易 | 2017-09-11 | 2018-02-06 |
| Rep | 證券交易 | 2013-06-03 | 2017-09-11 | |
| BOCOM International Securities Limited | RO | 證券交易 | 2012-10-25 | 2013-02-27 |
| Rep | 證券交易 | 2011-12-02 | 2012-10-25 | |
| RO | 證券交易 | 2011-06-07 | 2011-12-02 | |
| Rep | 證券交易 | 2011-03-15 | 2011-06-07 | |
| DEUTSCHE SECURITIES ASIA LIMITED | Rep | 就機構融資提供意見 | - | 2004-01-08 |
| Rep | 提供資產管理 | - | 2004-01-08 | |
| Rep | 就證券提供意見 | - | 2009-06-13 | |
| Rep | 證券交易 | - | 2009-06-13 |