| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| UBS SECURITIES ASIA LIMITED | Rep | 證券交易 | 2005-07-18 | 2008-10-23 |
| HSBC STRUCTURED FUNDS (ASIA) LIMITED | Rep | 就證券提供意見 | 2004-05-15 | 2005-06-30 |
| HSBC SECURITIES (ASIA) LIMITED | Rep | 就機構融資提供意見 | - | 2003-12-10 |
| Rep | 提供資產管理 | - | 2004-07-27 | |
| Rep | 就證券提供意見 | - | 2005-06-30 | |
| Rep | 證券交易 | - | 2005-06-30 | |
| HSBC SECURITIES BROKERS (ASIA) LIMITED | Rep | 就機構融資提供意見 | - | 2003-12-10 |
| Rep | 就證券提供意見 | - | 2003-12-10 | |
| Rep | 提供資產管理 | - | 2003-12-10 | |
| Rep | 證券交易 | - | 2005-06-30 | |
| HSBC STRUCTURED FUNDS (ASIA) LIMITED | Rep | 就期貨合約提供意見 | - | 2003-12-10 |
| Rep | 期貨合約交易 | - | 2003-12-10 | |
| Rep | 提供資產管理 | - | 2005-06-30 |