| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SG SECURITIES (HK) LIMITED | Rep | 證券交易 | 2006-05-23 | 2007-05-19 |
| BOCI COMMODITIES & FUTURES LIMITED | Rep | 就期貨合約提供意見 | - | 2004-01-13 |
| Rep | 提供資產管理 | - | 2004-01-13 | |
| Rep | 期貨合約交易 | - | 2005-04-30 | |
| BOCI SECURITIES LIMITED | Rep | 就機構融資提供意見 | - | 2004-01-12 |
| Rep | 就證券提供意見 | - | 2004-01-12 | |
| Rep | 提供資產管理 | - | 2004-01-12 | |
| Rep | 證券交易 | - | 2005-04-30 |