| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| EMPEROR SECURITIES LIMITED (HK) | Rep | 证券交易 | 2008-08-20 | 2019-03-29 |
| Rep | 就证券提供意见 | 2008-07-30 | 2019-03-29 | |
| FTL Wealth Management (HK) Limited | Rep | 就证券提供意见 | 2007-10-04 | 2008-03-06 |
| Sun Life Hong Kong Limited | Rep | 就证券提供意见 | 2006-12-04 | 2007-04-21 |
| THE PRUDENTIAL ASSURANCE COMPANY LIMITED | Rep | 就机构融资提供意见 | - | 2004-08-11 |
| Rep | 就证券提供意见 | - | 2004-08-11 | |
| Rep | 提供资产管理 | - | 2004-08-11 | |
| Rep | 证券交易 | - | 2004-08-11 |