| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| PRUDENTIAL BROKERAGE LIMITED | Rep | 證券交易 | 2020-10-14 | - |
| BOCOM International Securities Limited | Rep | 證券交易 | 2007-09-12 | 2020-09-30 |
| BOCOM International Holdings Company Limited | Rep | 證券交易 | 2006-08-11 | 2008-03-03 |
| INTERCHINA SECURITIES LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2003-08-11 |
| Rep | 就證券提供意見 | 2003-04-01 | 2003-08-11 | |
| Rep | 提供資產管理 | 2003-04-01 | 2003-08-11 | |
| Rep | 證券交易 | 2003-04-01 | 2006-08-10 |