| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| CAIIS Limited | Rep | 就证券提供意见 | 2011-03-10 | 2013-10-15 |
| Rep | 证券交易 | 2011-03-10 | 2013-10-15 | |
| Julius Baer (Hong Kong) Limited | Rep | 就证券提供意见 | 2010-09-08 | 2011-02-28 |
| Rep | 证券交易 | 2010-09-08 | 2011-02-28 | |
| CAIIS Limited | Rep | 证券交易 | 2006-07-12 | 2008-05-14 |
| Rep | 就证券提供意见 | 2006-05-08 | 2008-05-14 |