| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CAITONG INTERNATIONAL SECURITIES CO., LIMITED | Rep | 證券交易 | 2022-11-01 | - |
| GET NICE SECURITIES LIMITED | Rep | 證券交易 | 2022-01-20 | 2022-10-14 |
| WESTOCK SECURITIES INTERNATIONAL (HK) LIMITED | Rep | 證券交易 | 2019-02-18 | 2022-01-07 |
| ROOFER SECURITIES LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-11-30 |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-11-30 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-11-30 | |
| Rep | 證券交易 | 2003-04-01 | 2019-01-31 |