| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| BTIG Hong Kong Limited | Rep | 證券交易 | 2010-03-01 | - |
| J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2008-06-24 | 2009-07-06 |
| Rep | 證券交易 | 2008-06-04 | 2009-07-06 | |
| BEAR STEARNS ASIA LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-12-13 |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-12-13 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-12-13 | |
| Rep | 提供自動化交易服務 | 2003-04-01 | 2004-12-13 | |
| Rep | 證券交易 | 2003-04-01 | 2009-07-06 |