| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Novel Wealth Management Limited | Rep | 就證券提供意見 | 2024-10-08 | - |
| Rep | 提供資產管理 | 2024-10-08 | - | |
| Rep | 證券交易 | 2024-10-08 | - | |
| Merrill Lynch (Asia Pacific) Limited | Rep | 就機構融資提供意見 | 2015-05-26 | 2017-02-06 |
| Rep | 就證券提供意見 | 2015-05-26 | 2017-02-06 | |
| Rep | 證券交易 | 2015-05-26 | 2017-02-06 | |
| Merrill Lynch Far East Limited | Rep | 就機構融資提供意見 | 2015-05-26 | 2017-02-06 |
| Rep | 就證券提供意見 | 2015-05-26 | 2017-02-06 | |
| Rep | 證券交易 | 2015-05-26 | 2017-02-06 | |
| CCB INTERNATIONAL CAPITAL LIMITED | Rep | 就機構融資提供意見 | 2011-06-21 | 2013-07-09 |
| Rep | 證券交易 | 2011-06-21 | 2013-07-09 |