| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SIMPLEX CAPITAL ASIA LIMITED | Rep | 就證券提供意見 | 2013-12-05 | 2015-12-31 |
| Credit Suisse (Hong Kong) Limited | Rep | 就機構融資提供意見 | 2011-04-21 | 2012-09-21 |
| Rep | 就證券提供意見 | 2011-04-21 | 2012-10-30 | |
| Rep | 提供自動化交易服務 | 2011-04-21 | 2012-10-30 | |
| Rep | 證券交易 | 2011-04-21 | 2012-10-30 | |
| STORMHARBOUR SECURITIES (HONG KONG) LIMITED | Rep | 就機構融資提供意見 | 2010-04-07 | 2011-03-15 |
| Rep | 就證券提供意見 | 2010-04-07 | 2011-03-15 | |
| Rep | 證券交易 | 2010-04-07 | 2011-03-15 | |
| Morgan Stanley Asia Limited | Rep | 就機構融資提供意見 | 2007-09-03 | 2008-11-21 |
| Rep | 證券交易 | 2007-09-03 | 2008-11-21 |