| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | 就期貨合約提供意見 | 2007-07-06 | 2010-06-08 |
| Rep | 就證券提供意見 | 2007-07-06 | 2010-06-08 | |
| Rep | 期貨合約交易 | 2007-06-29 | 2010-06-08 | |
| Rep | 證券交易 | 2007-06-29 | 2010-06-08 | |
| 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 | - | 2007-04-20 | |
| Rep | 證券交易 | - | 2007-04-20 | |
| Morgan Stanley Hong Kong Futures Limited | Rep | 提供自動化交易服務 | - | 2007-04-20 |
| Rep | 期貨合約交易 | - | 2007-04-20 |