| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| FRONTIER CAPITAL MANAGEMENT LIMITED (HK) | RO | 就證券提供意見 | 2012-12-17 | 2013-02-04 |
| RO | 證券交易 | 2012-12-17 | 2013-02-04 | |
| Rep | 就證券提供意見 | 2012-06-19 | 2012-12-17 | |
| Rep | 證券交易 | 2012-06-19 | 2012-12-17 | |
| Rep | 提供資產管理 | 2012-06-19 | 2013-02-04 | |
| Merrill Lynch (Asia Pacific) Limited | Rep | 就證券提供意見 | 2011-12-12 | 2012-03-05 |
| Rep | 證券交易 | 2011-07-21 | 2012-03-05 | |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | 期貨合約交易 | 2009-08-24 | 2011-07-10 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2009-08-24 | 2011-07-10 |