| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| NF Trinity Capital (Hong Kong) Limited | RO | 證券交易 | 2017-07-21 | 2019-02-07 |
| Jefferies Hong Kong Limited | Rep | 證券交易 | 2014-07-07 | 2016-12-02 |
| GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | 證券交易 | 2011-02-25 | 2014-04-18 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2011-02-25 | 2014-04-18 |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 證券交易 | 2009-07-06 | 2014-04-18 |
| Morgan Stanley Asia Limited | Rep | 就機構融資提供意見 | - | 2004-02-11 |
| Rep | 就證券提供意見 | - | 2004-02-11 | |
| Rep | 提供自動化交易服務 | - | 2004-02-11 | |
| Rep | 證券交易 | - | 2009-05-05 |