| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CITIC Securities (Hong Kong) Limited | Rep | 就機構融資提供意見 | 2010-01-22 | 2012-04-26 |
| Rep | 就證券提供意見 | 2010-01-22 | 2012-04-26 | |
| SG SECURITIES (HK) LIMITED | Rep | 證券交易 | 2008-09-09 | 2009-12-09 |
| UBS SECURITIES ASIA LIMITED | Rep | 就機構融資提供意見 | - | 2004-07-01 |
| Rep | 就證券提供意見 | - | 2004-07-01 | |
| Rep | 提供資產管理 | - | 2004-07-01 | |
| Rep | 證券交易 | - | 2004-07-01 |