| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| Nerico Brothers Limited (HK) | Rep | 证券交易 | 2013-07-25 | 2022-05-05 |
| Broadway Wealth Management Limited | Rep | 就证券提供意见 | 2009-12-17 | 2010-06-15 |
| Rep | 提供资产管理 | 2009-12-17 | 2010-06-15 | |
| BMI FUNDS MANAGEMENT LIMITED | Rep | 提供资产管理 | 2005-04-25 | 2006-11-20 |
| Rep | 就证券提供意见 | 2005-04-14 | 2006-11-20 | |
| Broadway Wealth Management Limited | Rep | 就机构融资提供意见 | - | 2003-12-15 |
| Rep | 提供资产管理 | - | 2003-12-15 | |
| Rep | 就证券提供意见 | - | 2005-04-14 |