| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED | Rep | 就期貨合約提供意見 | 2007-04-24 | 2007-07-11 |
| Rep | 就證券提供意見 | 2007-04-24 | 2007-07-11 | |
| Rep | 提供資產管理 | 2007-04-24 | 2007-07-11 | |
| ETRADE SECURITIES (HONG KONG) LIMITED | Rep | 槓桿式外匯交易 | 2004-06-12 | 2004-12-22 |
| Rep | 就證券提供意見 | 2004-04-01 | 2004-12-22 | |
| Rep | 證券交易 | 2004-04-01 | 2004-12-22 | |
| Daiwa Capital Markets Hong Kong Limited | Rep | 就機構融資提供意見 | - | 2004-01-31 |
| Rep | 就證券提供意見 | - | 2004-01-31 | |
| Rep | 提供資產管理 | - | 2004-01-31 | |
| Rep | 證券交易 | - | 2004-01-31 |