| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CINDA INTERNATIONAL SECURITIES LIMITED | Rep | 證券交易 | 2012-12-07 | - |
| YU ON SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2005-03-03 | 2012-12-01 |
| CVP Securities Limited | Rep | 證券交易 | 2004-10-19 | 2005-03-02 |
| TIS SECURITIES (HK) LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-07-21 |
| Rep | 提供資產管理 | 2003-04-01 | 2004-07-21 | |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-10-18 |