| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| HSBC SECURITIES BROKERS (ASIA) LIMITED | Rep | 證券交易 | 2011-07-28 | 2014-06-10 |
| DBS VICKERS (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2007-06-21 | 2011-05-26 |
| Rep | 證券交易 | 2007-04-23 | 2011-05-26 | |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 就機構融資提供意見 | - | 2004-11-24 |
| Rep | 就證券提供意見 | - | 2004-11-24 | |
| Rep | 提供資產管理 | - | 2004-11-24 | |
| Rep | 證券交易 | - | 2007-01-17 |