| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Quam Securities Limited | Rep | 證券交易 | 2013-01-16 | 2015-09-01 |
| Waterland Securities (HK) Company Limited | Rep | 證券交易 | 2011-07-14 | 2012-10-16 |
| SINO-RICH SECURITIES & FUTURES LIMITED | Rep | 證券交易 | 2007-08-14 | 2008-09-30 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2005-09-27 | 2007-07-24 |
| KCG SECURITIES ASIA LIMITED | Rep | 就機構融資提供意見 | - | 2004-03-03 |
| Rep | 就證券提供意見 | - | 2004-03-03 | |
| Rep | 提供資產管理 | - | 2004-03-03 | |
| Rep | 證券交易 | - | 2005-09-12 |