| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| BTIG Hong Kong Limited | Rep | 证券交易 | 2021-07-26 | 2025-02-06 |
| Quintus Partners Limited | RO | 就机构融资提供意见 | 2015-06-12 | 2020-02-07 |
| RO | 证券交易 | 2015-06-12 | 2020-02-07 | |
| BARCLAYS CAPITAL ASIA LIMITED | RO | 就机构融资提供意见 | 2011-03-18 | 2014-03-31 |
| RO | 证券交易 | 2011-03-18 | 2014-03-31 | |
| Rep | 就机构融资提供意见 | 2010-09-07 | 2011-03-18 | |
| Rep | 证券交易 | 2010-09-07 | 2011-03-18 | |
| Morgan Stanley Asia Limited | RO | 就机构融资提供意见 | 2007-01-05 | 2010-06-07 |
| RO | 证券交易 | 2007-01-05 | 2010-06-07 | |
| Rep | 就证券提供意见 | - | 2004-02-11 | |
| Rep | 提供自动化交易服务 | - | 2004-02-11 | |
| Rep | 就机构融资提供意见 | - | 2007-01-05 | |
| Rep | 证券交易 | - | 2007-01-05 |