| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| BSI Investment Advisors (Hong Kong) Limited | Rep | 提供資產管理 | 2011-05-19 | 2013-01-08 |
| Rep | 就證券提供意見 | 2011-04-18 | 2014-01-31 | |
| Rep | 證券交易 | 2011-04-18 | 2014-01-31 | |
| Amova Asset Management Hong Kong Limited | RO | 就證券提供意見 | 2005-08-24 | 2006-08-08 |
| RO | 提供資產管理 | 2005-08-24 | 2006-08-08 | |
| Rep | 就證券提供意見 | 2004-08-27 | 2005-08-24 | |
| Rep | 提供資產管理 | 2004-08-27 | 2005-08-24 | |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | 就機構融資提供意見 | - | 2004-05-05 |
| Rep | 就期貨合約提供意見 | - | 2004-05-31 | |
| Rep | 就證券提供意見 | - | 2004-05-31 | |
| Rep | 提供資產管理 | - | 2004-05-31 |