| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| ATHENA WEALTH MANAGEMENT LIMITED | Rep | 證券交易 | 2012-05-16 | - |
| Rep | 就證券提供意見 | 2009-08-17 | 2011-12-31 | |
| T G HOLBORN (HK) LIMITED | Rep | 就證券提供意見 | 2008-08-12 | 2009-06-26 |
| Ark Securities (Hong Kong) Limited | Rep | 就證券提供意見 | 2008-02-18 | 2008-08-01 |
| Rep | 證券交易 | 2008-02-18 | 2008-08-01 | |
| GLOBAL INVESTMENT ADVISORS LIMITED | Rep | 就證券提供意見 | 2006-06-30 | 2007-12-13 |
| KARL THOMSON INVESTMENT CONSULTANTS LIMITED | Rep | 就證券提供意見 | 2004-11-10 | 2006-06-14 |
| T G HOLBORN (HK) LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-08-23 |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-08-23 |
已採集記錄中暫無金管局登記。