| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Daiwa Capital Markets Hong Kong Limited | Rep | 就證券提供意見 | 2010-03-17 | 2014-10-01 |
| DAIWA INSTITUTE OF RESEARCH (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2010-03-17 | 2012-01-30 |
| MF Securities Hong Kong Limited | Rep | 就證券提供意見 | 2008-06-23 | 2008-09-30 |
| Citigroup Global Markets Asia Limited | Rep | 提供資產管理 | - | 2005-01-28 |
| Rep | 就機構融資提供意見 | - | 2005-03-21 | |
| Rep | 提供自動化交易服務 | - | 2005-03-21 | |
| Rep | 證券交易 | - | 2005-03-21 | |
| Rep | 就證券提供意見 | - | 2008-05-09 |