| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| RBC GLOBAL ASSET MANAGEMENT (ASIA) LIMITED | Rep | 就證券提供意見 | 2008-11-06 | 2009-03-25 |
| Rep | 證券交易 | 2008-09-24 | 2009-03-25 | |
| Morgan Stanley Asia Limited | Rep | 就機構融資提供意見 | - | 2004-02-11 |
| Rep | 就證券提供意見 | - | 2004-02-11 | |
| Rep | 提供自動化交易服務 | - | 2004-02-11 | |
| Rep | 證券交易 | - | 2008-05-19 | |
| Morgan Stanley Hong Kong Futures Limited | Rep | 提供自動化交易服務 | - | 2004-02-11 |
| Rep | 期貨合約交易 | - | 2008-05-19 |