| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Yunfeng Financial Markets Limited | RO | 就機構融資提供意見 | 2018-05-08 | 2019-01-08 |
| RO | 證券交易 | 2018-05-08 | 2019-01-08 | |
| Rep | 就機構融資提供意見 | 2014-06-18 | 2018-05-08 | |
| Rep | 證券交易 | 2014-06-18 | 2018-05-08 | |
| Crosby Securities Limited | Rep | 就機構融資提供意見 | 2013-09-19 | 2014-02-12 |
| Rep | 證券交易 | 2013-09-17 | 2014-02-12 | |
| CGS International Securities Hong Kong Limited | Rep | 就機構融資提供意見 | 2011-06-27 | 2013-07-04 |
| Rep | 證券交易 | 2011-06-27 | 2013-07-04 | |
| MUFG Securities Asia Limited | Rep | 就機構融資提供意見 | 2011-03-29 | 2011-06-21 |
| RHB CAPITAL HONG KONG LIMITED | Rep | 就機構融資提供意見 | 2007-08-15 | 2011-03-24 |