| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2011-08-17 | 2016-03-17 |
| Rep | 證券交易 | 2011-08-17 | 2016-03-17 | |
| FWD Financial Planning Limited (HK) | Rep | 證券交易 | 2011-03-18 | 2011-07-25 |
| Rep | 就證券提供意見 | 2004-08-20 | 2011-07-25 | |
| UKFP (Asia) HK Limited | Rep | 就機構融資提供意見 | - | 2004-05-24 |
| Rep | 就證券提供意見 | - | 2004-08-16 | |
| Rep | 提供資產管理 | - | 2004-08-16 | |
| Rep | 證券交易 | - | 2004-08-16 |