| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Daiwa Capital Markets Hong Kong Limited | RO | 就機構融資提供意見 | 2010-03-10 | - |
| Rep | 證券交易 | 2010-03-10 | - | |
| HAI TONG SECURITIES (HK) BROKERAGE LIMITED | RO | 證券交易 | 2009-03-24 | 2010-03-05 |
| HAITONG INTERNATIONAL CAPITAL (HK) LIMITED | RO | 就機構融資提供意見 | 2009-03-24 | 2010-03-05 |
| Everbright Securities Global (HK) Limited | RO | 就機構融資提供意見 | 2007-02-26 | 2007-08-22 |
| RO | 證券交易 | 2007-02-26 | 2007-08-22 | |
| Rep | 證券交易 | 2005-02-03 | 2007-02-26 | |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-01-27 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-01-27 | |
| Rep | 就機構融資提供意見 | 2003-04-01 | 2007-02-26 |