| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| ASA SECURITIES LIMITED | Rep | 期货合约交易 | 2011-01-13 | 2011-06-10 |
| Rep | 证券交易 | 2010-11-10 | 2011-06-10 | |
| XinKong International Securities Limited | Rep | 证券交易 | 2010-08-02 | 2010-11-06 |
| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | 证券交易 | 2007-06-26 | 2007-07-27 |
| CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | 证券交易 | 2007-06-26 | 2007-07-27 |
| FWD Financial Planning Limited (HK) | Rep | 就证券提供意见 | 2006-03-14 | 2007-05-31 |
| KARL THOMSON INVESTMENT CONSULTANTS LIMITED | Rep | 就证券提供意见 | 2003-11-04 | 2004-06-24 |