| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| PineBridge Investments Asia Limited | Rep | 就證券提供意見 | 2013-06-25 | 2017-07-19 |
| Rep | 證券交易 | 2013-06-25 | 2017-07-19 | |
| STORMHARBOUR SECURITIES (HONG KONG) LIMITED | Rep | 就機構融資提供意見 | 2010-03-18 | 2013-01-01 |
| Rep | 就證券提供意見 | 2010-03-18 | 2013-01-01 | |
| Rep | 證券交易 | 2010-03-18 | 2013-01-01 | |
| KBC FINANCIAL PRODUCTS HONG KONG LIMITED | Rep | 證券交易 | 2006-09-12 | 2009-03-01 |