| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Carret Private Capital Limited | Rep | 就證券提供意見 | 2023-11-06 | - |
| Rep | 提供資產管理 | 2023-11-06 | - | |
| Rep | 證券交易 | 2023-11-06 | - | |
| ST. JAMES'S PLACE (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2023-09-22 | 2023-09-27 |
| Rep | 提供資產管理 | 2023-09-22 | 2023-09-27 | |
| Rep | 證券交易 | 2023-09-22 | 2023-09-27 | |
| Jefferies Hong Kong Limited | Rep | 證券交易 | 2017-12-20 | 2020-07-16 |
| RO | 就證券提供意見 | 2010-01-04 | 2012-11-15 | |
| RO | 證券交易 | 2010-01-04 | 2017-12-20 | |
| LEHMAN BROTHERS ASIA LIMITED | Rep | 證券交易 | 2004-04-19 | 2005-10-05 |