| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| KGI ASIA LIMITED | Rep | 证券交易 | 2007-07-27 | 2007-11-28 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 证券交易 | 2005-04-11 | 2007-06-30 |
| SINO-RICH SECURITIES & FUTURES LIMITED | Rep | 证券交易 | 2004-11-17 | 2005-04-01 |
| HOU TAK SECURITIES LIMITED | Rep | 证券交易 | 2004-08-10 | 2004-10-12 |
| CORPORATE BROKERS LIMITED | Rep | 就机构融资提供意见 | - | 2004-02-19 |
| Rep | 就证券提供意见 | - | 2004-02-19 | |
| Rep | 提供资产管理 | - | 2004-02-19 | |
| Rep | 提供自动化交易服务 | - | 2004-02-19 | |
| Rep | 证券交易 | - | 2004-08-10 |