| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| IL&FS Global Financial Services (HK) Limited | RO | 就證券提供意見 | 2013-10-11 | 2016-07-11 |
| RO | 證券交易 | 2013-10-11 | 2016-07-11 | |
| CHI CAPITAL SECURITIES LIMITED | RO | 就證券提供意見 | 2011-06-28 | 2012-10-14 |
| RO | 證券交易 | 2011-06-28 | 2012-10-14 | |
| Rep | 就證券提供意見 | 2011-06-10 | 2011-06-28 | |
| Rep | 證券交易 | 2011-06-10 | 2011-06-28 | |
| BOCI SECURITIES LIMITED | Rep | 證券交易 | 2010-05-17 | 2011-02-09 |
| Knight Libertas (Asia) Limited | RO | 就證券提供意見 | 2008-01-23 | 2009-08-12 |
| RO | 證券交易 | 2008-01-23 | 2009-08-12 | |
| ROTHSCHILD & CO HONG KONG LIMITED | Rep | 就機構融資提供意見 | 2006-04-13 | 2006-06-16 |
| Rep | 就證券提供意見 | 2006-04-13 | 2006-06-16 |