| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2008-10-10 | 2010-03-09 |
| Rep | 證券交易 | 2008-10-10 | 2010-03-09 | |
| LEHMAN BROTHERS ASIA LIMITED | Rep | 期貨合約交易 | 2008-04-18 | 2008-09-29 |
| Rep | 證券交易 | 2008-04-18 | 2008-09-29 | |
| BEAR STEARNS ASIA LIMITED | Rep | 期貨合約交易 | 2007-06-07 | 2008-02-13 |
| Rep | 證券交易 | 2006-09-11 | 2008-02-13 | |
| DEUTSCHE SECURITIES ASIA LIMITED | Rep | 就機構融資提供意見 | - | 2004-01-08 |
| Rep | 提供資產管理 | - | 2004-01-08 | |
| Rep | 就證券提供意見 | - | 2004-04-17 | |
| Rep | 證券交易 | - | 2006-08-11 |