| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Carret Private Capital Limited | Rep | 就證券提供意見 | 2018-07-06 | 2020-11-30 |
| Rep | 提供資產管理 | 2018-07-06 | 2020-11-30 | |
| Rep | 證券交易 | 2018-07-06 | 2020-11-30 | |
| Win Harvest Asset Management Limited | Rep | 就證券提供意見 | 2017-09-19 | 2018-04-30 |
| Rep | 提供資產管理 | 2017-09-19 | 2018-04-30 | |
| Harmony Advisors Limited | Rep | 證券交易 | 2015-11-04 | 2016-06-12 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2012-04-24 | 2015-06-03 |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 證券交易 | 2009-12-08 | 2015-06-03 |