| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| LGT INVESTMENT MANAGEMENT (ASIA) LIMITED | Rep | 就證券提供意見 | 2021-03-15 | - |
| Rep | 證券交易 | 2021-03-15 | - | |
| Qiao Group Limited | RO | 就證券提供意見 | 2011-02-15 | 2011-08-15 |
| RO | 提供資產管理 | 2011-02-15 | 2011-08-15 | |
| Merrill Lynch Far East Limited | Rep | 期貨合約交易 | 2010-08-20 | 2010-11-19 |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2009-02-25 | 2010-08-20 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 證券交易 | 2007-06-01 | 2010-11-19 |
已採集記錄中暫無金管局登記。