| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| EXCEL INVESTMENT (HK) LIMITED | RO | 提供資產管理 | 2014-07-21 | 2017-02-24 |
| China Alpha Fund Management (HK) Limited | Rep | 提供資產管理 | 2012-12-21 | 2013-11-15 |
| Rep | 就證券提供意見 | 2012-11-05 | 2013-11-15 | |
| FIRST SHANGHAI FUTURES LIMITED | Rep | 就期貨合約提供意見 | 2010-05-20 | 2012-10-31 |
| FIRST SHANGHAI SECURITIES LIMITED | Rep | 就證券提供意見 | 2009-12-11 | 2012-10-31 |
| Credit Suisse Securities (Hong Kong) Limited | Rep | 就機構融資提供意見 | - | 2003-11-03 |
| Rep | 就證券提供意見 | - | 2003-11-03 | |
| Rep | 提供資產管理 | - | 2003-11-03 |