| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CINDA INTERNATIONAL SECURITIES LIMITED | Rep | 證券交易 | 2020-03-18 | - |
| RHB SECURITIES HONG KONG LIMITED | Rep | 證券交易 | 2007-11-20 | 2020-03-06 |
| LEHIN SECURITIES LIMITED | Rep | 證券交易 | 2007-05-03 | 2007-05-11 |
| GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED | Rep | 證券交易 | 2007-03-28 | 2007-04-23 |
| STAR SECURITIES LIMITED (d2009-10-02) | Rep | 證券交易 | 2006-10-09 | 2007-03-19 |
| KWAI HUNG SECURITIES COMPANY LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2003-10-28 |
| Rep | 就證券提供意見 | 2003-04-01 | 2003-10-28 | |
| Rep | 提供資產管理 | 2003-04-01 | 2003-10-28 | |
| Rep | 證券交易 | 2003-04-01 | 2006-09-26 |