| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Suich Asset Management (Hong Kong) Limited | RO | 就證券提供意見 | 2014-03-10 | 2015-10-31 |
| RO | 提供資產管理 | 2014-03-10 | 2015-10-31 | |
| VONTOBEL WEALTH MANAGEMENT (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2013-07-15 | 2013-09-17 |
| Rep | 證券交易 | 2013-07-15 | 2013-09-17 | |
| Credit Suisse (Hong Kong) Limited | Rep | 就機構融資提供意見 | 2010-08-04 | 2012-06-30 |
| Rep | 就證券提供意見 | 2010-08-04 | 2012-06-30 | |
| Rep | 證券交易 | 2010-08-04 | 2012-06-30 |