| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| UPBEST SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2011-08-08 | - |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2010-03-01 | 2011-07-21 |
| UPBEST SECURITIES COMPANY LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2003-12-23 |
| Rep | 就證券提供意見 | 2003-04-01 | 2003-12-23 | |
| Rep | 提供資產管理 | 2003-04-01 | 2003-12-23 | |
| Rep | 證券交易 | 2003-04-01 | 2010-02-25 |