| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| UOB KAY HIAN (HONG KONG) LIMITED | Rep | 就機構融資提供意見 | 2013-08-01 | 2015-11-30 |
| UOB KAY HIAN FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2013-05-23 | 2015-11-30 |
| UOB KAY HIAN (HONG KONG) LIMITED | Rep | 證券交易 | 2011-09-08 | 2015-11-30 |
| PITT CAPITAL PARTNERS ASIA LIMITED | RO | 就機構融資提供意見 | 2008-07-28 | 2009-10-02 |
| RO | 就證券提供意見 | 2008-07-28 | 2009-10-02 |