| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| GLOBAL INVESTMENT ADVISORS LIMITED | Rep | 證券交易 | 2011-02-25 | 2012-12-31 |
| Rep | 就證券提供意見 | 2005-06-13 | 2012-12-31 | |
| Lion Global Financial Limited | Rep | 就證券提供意見 | 2005-02-25 | 2005-06-09 |
| Broadway Wealth Management Limited | Rep | 就證券提供意見 | 2004-09-13 | 2005-01-26 |
| CASH Wealth Management Limited | Rep | 就證券提供意見 | 2004-07-20 | 2004-08-31 |
| Broadway Wealth Management Limited | Rep | 就證券提供意見 | 2004-04-02 | 2004-06-10 |