| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SINO-RICH SECURITIES & FUTURES LIMITED | Rep | 就證券提供意見 | 2014-03-20 | 2016-05-03 |
| Rep | 提供資產管理 | 2014-03-20 | 2016-05-03 | |
| Rep | 證券交易 | 2014-03-20 | 2016-05-03 | |
| TARGET CAPITAL MANAGEMENT LIMITED (HK) | Rep | 證券交易 | 2010-08-27 | 2014-02-10 |
| Rep | 提供資產管理 | 2009-10-16 | 2014-02-10 | |
| Rep | 就證券提供意見 | 2009-09-15 | 2014-02-10 | |
| THORNTON GLOBAL WEALTH MANAGEMENT LIMITED | Rep | 就證券提供意見 | 2007-02-27 | 2009-08-31 |
| FWD Life Insurance Company (Bermuda) Limited | Rep | 就證券提供意見 | 2004-07-28 | 2006-01-10 |
| Network Financial Services Limited | Rep | 就證券提供意見 | 2003-05-13 | 2004-06-27 |