| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| ONE CHINA SECURITIES LIMITED | Rep | 證券交易 | 2009-01-07 | 2013-07-06 |
| KGI ASIA LIMITED | Rep | 證券交易 | 2007-08-07 | 2008-12-24 |
| CORPORATE BROKERS LIMITED | Rep | 證券交易 | 2006-11-06 | 2007-08-02 |
| CGS International Securities Hong Kong Limited | Rep | 就機構融資提供意見 | - | 2003-06-19 |
| Rep | 就證券提供意見 | - | 2003-06-19 | |
| Rep | 提供資產管理 | - | 2003-06-19 | |
| Rep | 證券交易 | - | 2006-09-08 |