| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | 證券交易 | 2016-07-01 | 2019-11-25 |
| Rep | 證券交易 | 2014-11-24 | 2016-06-30 | |
| CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2014-11-24 | 2016-06-30 |
| Quam Securities Limited | Rep | 證券交易 | 2012-02-28 | 2014-11-06 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2011-11-07 | 2012-02-23 |
| CELESTIAL SECURITIES LIMITED | Rep | 證券交易 | 2005-09-30 | 2011-10-31 |
| TARZAN STOCK & SHARES LIMITED | Rep | 就機構融資提供意見 | - | 2004-10-11 |
| Rep | 就證券提供意見 | - | 2004-10-11 | |
| Rep | 提供資產管理 | - | 2004-10-11 | |
| Rep | 證券交易 | - | 2004-10-11 |