| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| FTL Wealth Management (HK) Limited | Rep | 就证券提供意见 | 2007-06-06 | 2010-11-30 |
| Lion Global Financial Limited | Rep | 就证券提供意见 | 2006-11-01 | 2007-03-15 |
| AXA CHINA REGION INVESTMENT SERVICES LIMITED | Rep | 就机构融资提供意见 | - | 2004-11-11 |
| Rep | 提供资产管理 | - | 2004-11-11 | |
| Rep | 就证券提供意见 | - | 2006-10-22 |