| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SINOMAX SECURITIES LIMITED | Rep | 就證券提供意見 | 2016-10-11 | - |
| Rep | 提供資產管理 | 2016-10-11 | - | |
| Rep | 證券交易 | 2016-08-18 | - | |
| RHB SECURITIES HONG KONG LIMITED | Rep | 證券交易 | 2015-07-14 | 2016-07-20 |
| IMPERIAL CAPITAL LIMITED (HK) | Rep | 就證券提供意見 | 2011-01-14 | 2012-11-21 |
| Rep | 提供資產管理 | 2011-01-14 | 2012-11-21 | |
| Quam Securities Limited | Rep | 就證券提供意見 | 2007-07-03 | 2008-09-09 |
| CASH RESEARCH LIMITED | Rep | 就證券提供意見 | 2004-07-28 | 2004-11-24 |
| ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2003-05-23 |
| Rep | 就證券提供意見 | 2003-04-01 | 2003-05-23 | |
| Rep | 提供資產管理 | 2003-04-01 | 2003-05-23 |