| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| ICBC INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2010-02-17 | 2010-12-11 |
| ICBC INTERNATIONAL SECURITIES LIMITED | Rep | 證券交易 | 2010-02-17 | 2010-12-11 |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 證券交易 | 2006-03-01 | 2008-11-07 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2006-03-01 | 2008-11-07 |
| FT Securities Limited | Rep | 就機構融資提供意見 | - | 2003-07-26 |
| Rep | 就證券提供意見 | - | 2003-07-26 | |
| Rep | 提供資產管理 | - | 2003-07-26 | |
| Rep | 證券交易 | - | 2003-07-26 | |
| JEFFERIES BACHE (HONG KONG) LIMITED | Rep | 就期貨合約提供意見 | - | 2003-07-26 |
| Rep | 提供資產管理 | - | 2003-07-26 | |
| Rep | 期貨合約交易 | - | 2003-07-26 |