| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| UOB KAY HIAN (HONG KONG) LIMITED | Rep | 證券交易 | 2013-08-07 | 2014-03-05 |
| UOB KAY HIAN FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2013-08-07 | 2014-03-05 |
| Merrill Lynch Far East Limited | Rep | 期貨合約交易 | 2010-08-20 | 2010-11-01 |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2007-05-25 | 2010-08-20 |
| Merrill Lynch Far East Limited | Rep | 證券交易 | 2005-05-19 | 2010-11-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 提供資產管理 | - | 2005-01-25 |
| Rep | 就機構融資提供意見 | - | 2005-03-23 | |
| Rep | 就證券提供意見 | - | 2005-03-23 | |
| Rep | 提供自動化交易服務 | - | 2005-03-23 | |
| Rep | 證券交易 | - | 2010-11-01 |