| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CAM Wealth Management Company Limited | RO | 就證券提供意見 | 2017-02-01 | 2018-04-30 |
| Crosby Securities Limited | RO | 就證券提供意見 | 2013-03-06 | 2016-09-15 |
| RO | 證券交易 | 2013-03-06 | 2016-09-15 | |
| CCB INTERNATIONAL SECURITIES LIMITED | RO | 證券交易 | 2009-09-11 | 2012-06-28 |
| Rep | 證券交易 | 2008-06-16 | 2009-09-11 | |
| BEAR STEARNS ASIA LIMITED | Rep | 提供資產管理 | 2007-07-09 | 2007-12-19 |
| Rep | 就證券提供意見 | - | 2004-12-09 | |
| Rep | 提供資產管理 | - | 2004-12-09 | |
| Rep | 提供自動化交易服務 | - | 2004-12-09 | |
| Rep | 就機構融資提供意見 | - | 2007-12-19 | |
| Rep | 證券交易 | - | 2007-12-19 |