| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| KGI ASIA LIMITED | Rep | 證券交易 | 2017-10-03 | 2018-12-27 |
| Rep | 證券交易 | 2017-05-22 | 2017-10-02 | |
| Quam Securities Limited | Rep | 證券交易 | 2011-07-25 | 2017-03-31 |
| FIRST WORLDSEC SECURITIES LIMITED | Rep | 證券交易 | 2008-02-18 | 2011-07-16 |
| PIPER JAFFRAY ASIA SECURITIES LIMITED | Rep | 證券交易 | 2005-08-03 | 2008-02-01 |
| SUN GROWTH SECURITIES LIMITED | Rep | 就機構融資提供意見 | - | 2004-06-05 |
| Rep | 就證券提供意見 | - | 2004-06-05 | |
| Rep | 提供資產管理 | - | 2004-06-05 | |
| Rep | 證券交易 | - | 2005-08-02 |