| 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 | 2010-04-13 | 2013-01-25 |
| Rep | 證券交易 | 2010-04-13 | 2013-01-25 | |
| CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | 證券交易 | 2010-04-13 | 2012-01-31 |
| ROTHSCHILD & CO HONG KONG LIMITED | Rep | 就機構融資提供意見 | 2007-08-17 | 2010-03-20 |
| Rep | 就證券提供意見 | 2007-08-17 | 2010-03-20 |