| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| DAIWA CAPITAL MARKETS TRADING HONG KONG LIMITED | Rep | 證券交易 | 2007-01-31 | 2008-12-31 |
| KBC FINANCIAL PRODUCTS HONG KONG LIMITED | Rep | 證券交易 | 2007-01-31 | 2008-12-31 |
| DAIWA CAPITAL MARKETS TRADING HONG KONG LIMITED | RO | 證券交易 | 2003-06-16 | 2007-01-31 |
| KBC FINANCIAL PRODUCTS HONG KONG LIMITED | RO | 證券交易 | 2003-06-16 | 2007-01-31 |
| Rep | 就機構融資提供意見 | - | 2003-05-19 | |
| Rep | 就證券提供意見 | - | 2003-05-19 | |
| Rep | 提供資產管理 | - | 2003-05-19 | |
| Rep | 證券交易 | - | 2003-06-16 |