| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Oreana Financial Services Limited | Rep | 就證券提供意見 | 2012-05-23 | 2014-04-18 |
| Rep | 提供資產管理 | 2012-05-23 | 2014-04-18 | |
| Rep | 證券交易 | 2012-05-23 | 2014-04-18 | |
| AXA Financial Planning (Hong Kong) Limited | Rep | 就證券提供意見 | 2010-10-11 | 2012-03-31 |
| Rep | 證券交易 | 2010-10-11 | 2012-03-31 |