| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| FITCH (HONG KONG) LIMITED | Rep | 提供信貸評級服務 | 2012-10-08 | - |
| Yuanta Securities (Hong Kong) Company Limited | RO | 就證券提供意見 | 2010-08-26 | 2012-09-29 |
| Rep | 就證券提供意見 | 2010-02-24 | 2010-08-26 | |
| PIPER JAFFRAY ASIA SECURITIES LIMITED | Rep | 就證券提供意見 | 2009-12-22 | 2010-01-23 |
| RHB SECURITIES HONG KONG LIMITED | Rep | 就證券提供意見 | 2009-04-16 | 2009-11-28 |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-11-23 |
| Rep | 提供資產管理 | 2003-04-01 | 2004-11-23 | |
| Rep | 證券交易 | 2003-04-01 | 2004-11-23 | |
| Rep | 就證券提供意見 | 2003-04-01 | 2008-12-10 |