| 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 | 2012-03-27 | 2013-01-11 |
| Rep | 提供資產管理 | 2009-05-13 | 2013-01-11 | |
| Rep | 就證券提供意見 | 2008-09-25 | 2011-12-21 | |
| T G HOLBORN (HK) LIMITED | Rep | 就機構融資提供意見 | 2006-07-12 | 2008-08-25 |
| Rep | 就證券提供意見 | 2006-07-12 | 2008-08-25 | |
| SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED | Rep | 就證券提供意見 | 2004-03-24 | 2004-04-29 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 證券交易 | 2004-03-24 | 2004-04-29 |
| AIA WEALTH MANAGEMENT COMPANY LIMITED | Rep | 就機構融資提供意見 | - | 2003-09-01 |
| Rep | 就證券提供意見 | - | 2003-09-01 | |
| Rep | 提供資產管理 | - | 2003-09-01 | |
| Rep | 證券交易 | - | 2003-09-01 |