| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| PRUDENTIAL BROKERAGE LIMITED | Rep | 证券交易 | 2020-03-27 | - |
| RHB SECURITIES HONG KONG LIMITED | Rep | 证券交易 | 2013-10-03 | 2020-03-16 |
| BOCOM International Securities Limited | Rep | 证券交易 | 2009-04-03 | 2013-09-29 |
| Nerico Brothers Limited (HK) | Rep | 证券交易 | 2007-10-16 | 2009-03-19 |
| RHB SECURITIES HONG KONG LIMITED | Rep | 证券交易 | 2006-06-13 | 2007-10-04 |
| DELTA ASIA SECURITIES LIMITED | Rep | 提供自动化交易服务 | 2003-04-01 | 2003-11-07 |
| Rep | 就机构融资提供意见 | 2003-04-01 | 2004-05-11 | |
| Rep | 就证券提供意见 | 2003-04-01 | 2004-05-11 | |
| Rep | 提供资产管理 | 2003-04-01 | 2004-05-11 | |
| Rep | 证券交易 | 2003-04-01 | 2006-05-12 |