| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Success Securities Limited | Rep | 證券交易 | 2008-07-18 | 2019-01-31 |
| CITIC Securities Brokerage (HK) Limited | Rep | 證券交易 | 2007-07-04 | 2008-07-07 |
| OCBC Securities Brokerage (Hong Kong) Limited | Rep | 證券交易 | 2006-10-16 | 2007-06-25 |
| NATIONAL RESOURCES SECURITIES LIMITED | Rep | 就機構融資提供意見 | - | 2003-12-15 |
| Rep | 就證券提供意見 | - | 2003-12-15 | |
| Rep | 提供資產管理 | - | 2003-12-15 | |
| Rep | 證券交易 | - | 2006-09-25 |