| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Ark Securities (Hong Kong) Limited | Rep | 證券交易 | 2008-06-03 | 2012-03-29 |
| Everbright Securities Investment Services (HK) Limited | Rep | 證券交易 | 2007-01-18 | 2008-02-07 |
| THORNTON GLOBAL WEALTH MANAGEMENT LIMITED | Rep | 就證券提供意見 | 2004-07-06 | 2006-03-28 |
| FWD Financial Planning Limited (HK) | Rep | 就證券提供意見 | 2003-08-13 | 2004-07-06 |