| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Moody's Investors Service Hong Kong Limited | Rep | 提供信貸評級服務 | 2013-03-15 | 2018-04-13 |
| Citigroup Global Markets Asia Limited | Rep | 就機構融資提供意見 | 2011-01-13 | 2012-12-18 |
| Rep | 證券交易 | 2011-01-13 | 2012-12-18 | |
| CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | 證券交易 | 2011-01-13 | 2012-01-31 |
| BNP PARIBAS CAPITAL (ASIA PACIFIC) LIMITED | Rep | 就機構融資提供意見 | 2009-04-09 | 2010-10-01 |