| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| NBC Financial Markets Asia Limited | RO | 证券交易 | 2014-08-05 | - |
| Sumo Asset Management Limited | Rep | 就证券提供意见 | 2013-09-26 | 2013-10-28 |
| Rep | 提供资产管理 | 2013-09-26 | 2013-10-28 | |
| TCW ASIA LIMITED | RO | 证券交易 | 2013-04-19 | 2013-04-26 |
| Rep | 证券交易 | 2013-03-25 | 2013-04-19 | |
| Sumo Asset Management Limited | Rep | 提供资产管理 | 2011-04-29 | 2013-02-15 |
| iTTa Capital Limited | RO | 证券交易 | 2007-12-04 | 2013-02-15 |
| RO | 就证券提供意见 | 2003-05-29 | 2013-02-15 |