| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Moody's Investors Service Hong Kong Limited | Rep | 提供信貸評級服務 | 2020-11-23 | - |
| Optimas Capital Limited | RO | 就證券提供意見 | 2017-08-04 | 2020-08-31 |
| RO | 證券交易 | 2017-08-04 | 2020-08-31 | |
| RO | 提供資產管理 | 2016-07-14 | 2020-08-31 | |
| Credit Suisse (Hong Kong) Limited | Rep | 就證券提供意見 | 2013-07-23 | 2016-07-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 就證券提供意見 | 2012-06-18 | 2013-04-12 |
| Rep | 證券交易 | 2012-06-18 | 2013-04-12 | |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2012-03-19 | 2012-05-17 |
| SAMSUNG SECURITIES (ASIA) LIMITED | Rep | 就證券提供意見 | 2010-09-30 | 2012-02-03 |