| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| IAM LEGACY LIMITED | Rep | 提供资产管理 | 2016-03-21 | - |
| Rep | 就证券提供意见 | 2011-06-01 | - | |
| JS SECURITIES LIMITED (HK) | Rep | 证券交易 | 2011-06-01 | 2013-09-02 |
| WORL-D ASSET MANAGEMENT (HONG KONG) LIMITED | Rep | 就证券提供意见 | 2009-02-02 | 2011-05-20 |
| KARL-THOMSON SECURITIES COMPANY LIMITED | Rep | 就机构融资提供意见 | 2003-04-01 | 2004-07-23 |
| Rep | 就证券提供意见 | 2003-04-01 | 2004-07-23 | |
| Rep | 提供资产管理 | 2003-04-01 | 2004-07-23 | |
| Rep | 提供自动化交易服务 | 2003-04-01 | 2004-07-23 | |
| Rep | 证券交易 | 2003-04-01 | 2008-10-16 |