| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SDIC SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2012-06-15 | - |
| ICBC INTERNATIONAL SECURITIES LIMITED | Rep | 證券交易 | 2010-04-28 | 2012-04-12 |
| HAI TONG SECURITIES (HK) BROKERAGE LIMITED | Rep | 證券交易 | 2009-10-02 | 2010-04-12 |
| KGI ASIA LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-06-01 |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-06-01 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-06-01 | |
| Rep | 證券交易 | 2003-04-01 | 2009-09-16 |