| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Topaz Financial Group Limited | Rep | 期貨合約交易 | 2013-10-11 | 2016-03-14 |
| Rep | 證券交易 | 2013-10-11 | 2016-03-14 | |
| REDFORD SECURITIES LIMITED | Rep | 證券交易 | 2009-03-13 | 2012-02-22 |
| TARGET CAPITAL MANAGEMENT LIMITED (HK) | Rep | 就證券提供意見 | 2008-04-24 | 2009-03-02 |
| Rep | 提供資產管理 | 2008-04-24 | 2009-03-02 | |
| THORNTON GLOBAL WEALTH MANAGEMENT LIMITED | Rep | 就證券提供意見 | 2004-11-19 | 2005-11-18 |