| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| FT Securities Limited | Rep | 就期貨合約提供意見 | 2008-08-05 | 2009-06-01 |
| Rep | 期貨合約交易 | 2008-08-05 | 2009-06-01 | |
| Rep | 證券交易 | 2008-08-05 | 2009-06-01 | |
| BEA Union Investment Management Limited | Rep | 提供資產管理 | 2007-10-29 | 2007-12-11 |
| Rep | 證券交易 | 2006-08-17 | 2007-12-11 | |
| ASIA STRATEGIC INVESTMENT MANAGEMENT LIMITED | Rep | 證券交易 | 2006-06-19 | 2007-12-11 |
| UOB KAY HIAN (HONG KONG) LIMITED | Rep | 就機構融資提供意見 | - | 2004-02-27 |
| Rep | 就證券提供意見 | - | 2004-02-27 | |
| Rep | 證券交易 | - | 2006-06-17 |