| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| BOCOM International Securities Limited | Rep | 證券交易 | 2007-09-12 | - |
| BOCOM International Holdings Company Limited | Rep | 證券交易 | 2006-04-25 | 2008-03-03 |
| Waton Securities International Limited | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-12-07 |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-12-07 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-12-07 | |
| Rep | 證券交易 | 2003-04-01 | 2006-04-21 |