| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| DBS VICKERS (HONG KONG) LIMITED | RO | 證券交易 | 2021-02-04 | 2021-06-01 |
| Rep | 證券交易 | 2020-09-03 | 2021-02-04 | |
| Rep | 就證券提供意見 | 2020-09-03 | 2021-06-01 | |
| MIZUHO SECURITIES ASIA LIMITED | Rep | 就證券提供意見 | 2014-05-30 | 2019-11-05 |
| Rep | 證券交易 | 2014-05-30 | 2019-11-05 | |
| BOCOM International Securities Limited | RO | 證券交易 | 2011-08-24 | 2013-08-30 |
| Rep | 證券交易 | 2011-05-03 | 2011-08-24 | |
| T.F.S. Derivatives HK Limited | Rep | 證券交易 | 2010-01-04 | 2010-05-03 |
| DBS VICKERS (HONG KONG) LIMITED | Rep | 就機構融資提供意見 | - | 2003-10-13 |
| Rep | 提供資產管理 | - | 2003-10-13 | |
| Rep | 就證券提供意見 | - | 2003-10-22 | |
| Rep | 證券交易 | - | 2008-04-01 |