| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| APOGEE PARTNERS LIMITED (HK) | RO | 提供資產管理 | 2017-07-14 | 2018-04-16 |
| Standard Chartered Securities (Hong Kong) Limited | Rep | 就證券提供意見 | 2013-08-22 | 2015-01-08 |
| Rep | 證券交易 | 2013-08-22 | 2015-01-08 | |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 證券交易 | 2008-10-10 | 2012-03-14 |
| LEHMAN BROTHERS SECURITIES ASIA LIMITED | RO | 證券交易 | 2007-10-23 | 2008-09-29 |
| LEHMAN BROTHERS ASIA LIMITED | RO | 證券交易 | 2007-02-15 | 2008-09-29 |
| Rep | 證券交易 | 2006-09-10 | 2007-02-15 | |
| DEUTSCHE SECURITIES ASIA LIMITED | Rep | 就機構融資提供意見 | - | 2004-01-08 |
| Rep | 提供資產管理 | - | 2004-01-08 | |
| Rep | 就證券提供意見 | - | 2006-08-11 | |
| Rep | 證券交易 | - | 2006-08-11 |