| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Religare Capital Markets (Hong Kong) Limited | RO | 證券交易 | 2008-07-24 | 2012-03-01 |
| SFGHK Limited | RO | 證券交易 | 2007-10-16 | 2008-05-16 |
| Rep | 證券交易 | 2007-08-06 | 2007-10-16 | |
| CF GLOBAL (HK) LIMITED | RO | 證券交易 | 2005-03-17 | 2007-07-01 |
| Rep | 就機構融資提供意見 | - | 2004-02-05 | |
| Rep | 就證券提供意見 | - | 2004-02-05 | |
| Rep | 提供資產管理 | - | 2004-02-05 | |
| Rep | 證券交易 | - | 2005-03-17 |