| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SG SECURITIES (HK) LIMITED | Rep | 期貨合約交易 | 2009-01-19 | 2010-07-01 |
| Rep | 提供自動化交易服務 | 2006-03-15 | 2007-09-30 | |
| Rep | 期貨合約交易 | 2006-03-15 | 2007-09-30 | |
| Rep | 證券交易 | 2006-03-15 | 2010-07-01 | |
| Morgan Stanley Hong Kong Futures Limited | Rep | 期貨合約交易 | 2005-11-29 | 2006-01-14 |
| 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 | - | 2006-01-14 | |
| Rep | 證券交易 | - | 2006-01-14 |