| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| DBS VICKERS (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2009-11-19 | 2010-01-06 |
| Rep | 期貨合約交易 | 2009-11-19 | 2010-01-06 | |
| Rep | 證券交易 | 2009-11-19 | 2010-01-06 | |
| RO | 期貨合約交易 | 2003-10-14 | 2009-11-19 | |
| RO | 就證券提供意見 | - | 2009-11-19 | |
| RO | 證券交易 | - | 2009-11-19 | |
| DBS VICKERS FUTURES (HONG KONG) LIMITED DBS | RO | 期貨合約交易 | - | 2004-06-30 |
| DBS VICKERS SECURITIES (HONG KONG) LIMITED DBS | RO | 證券交易 | - | 2004-01-02 |