| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2008-05-16 | 2009-03-31 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 證券交易 | 2007-04-19 | 2009-03-31 |
| Merrill Lynch Far East Limited | Rep | 證券交易 | 2007-04-19 | 2009-03-31 |
| Credit Agricole Securities (Asia) Limited | Rep | 就機構融資提供意見 | - | 2004-09-24 |
| Rep | 提供資產管理 | - | 2004-09-24 | |
| Rep | 就證券提供意見 | - | 2005-03-23 | |
| Rep | 證券交易 | - | 2007-04-02 | |
| RBS Asia Securities (Hong Kong) Limited | Rep | 就機構融資提供意見 | - | 2005-02-04 |
| Rep | 就證券提供意見 | - | 2005-02-04 | |
| Rep | 提供資產管理 | - | 2005-02-04 | |
| Rep | 證券交易 | - | 2005-02-04 |