| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Citigroup Global Markets Asia Limited | Rep | 就機構融資提供意見 | 2010-06-03 | - |
| Rep | 證券交易 | 2010-06-03 | - | |
| CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | 證券交易 | 2010-06-03 | 2012-01-31 |
| Standard Chartered Securities (Hong Kong) Limited | Rep | 就機構融資提供意見 | 2009-08-28 | 2010-06-01 |
| Rep | 證券交易 | 2009-08-28 | 2010-06-01 | |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 就機構融資提供意見 | 2008-10-10 | 2009-07-28 |
| Rep | 證券交易 | 2008-10-10 | 2009-07-28 | |
| LEHMAN BROTHERS ASIA LIMITED | Rep | 就機構融資提供意見 | 2005-10-14 | 2008-09-29 |
| Rep | 證券交易 | 2005-10-14 | 2008-09-29 |