| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| BARCLAYS CAPITAL ASIA LIMITED | Rep | 就機構融資提供意見 | 2007-06-25 | 2009-10-14 |
| Rep | 證券交易 | 2007-06-25 | 2009-10-14 | |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 就期貨合約提供意見 | - | 2004-11-23 |
| Rep | 就證券提供意見 | - | 2004-11-23 | |
| Rep | 提供資產管理 | - | 2004-11-23 | |
| Rep | 期貨合約交易 | - | 2004-11-23 | |
| Rep | 就機構融資提供意見 | - | 2007-05-15 | |
| Rep | 證券交易 | - | 2007-05-15 |