| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Daiwa Capital Markets Hong Kong Limited | Rep | 就證券提供意見 | 2008-05-15 | 2008-10-10 |
| Rep | 期貨合約交易 | 2008-05-15 | 2008-10-10 | |
| Rep | 證券交易 | 2008-05-15 | 2008-10-10 | |
| RO | 證券交易 | - | 2004-05-24 | |
| DAIWA SECURITIES SMBC (ASIA) LIMITED | RO | 證券交易 | - | 2004-05-24 |
| DAIWA SECURITIES SMBC FUTURES (ASIA) LIMITED | Rep | 就期貨合約提供意見 | - | 2004-05-24 |
| Rep | 提供資產管理 | - | 2004-05-24 | |
| Rep | 期貨合約交易 | - | 2004-05-24 |