| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| BOCI SECURITIES LIMITED | Rep | 期貨合約交易 | 2011-10-14 | 2014-06-16 |
| Rep | 證券交易 | 2011-10-14 | 2014-06-16 | |
| Morgan Stanley Hong Kong Securities Limited | Rep | 期貨合約交易 | 2010-12-06 | 2011-09-01 |
| 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 | - | 2004-02-11 | |
| Rep | 證券交易 | - | 2011-09-01 | |
| Morgan Stanley Hong Kong Futures Limited | Rep | 提供自動化交易服務 | - | 2004-02-11 |
| Rep | 期貨合約交易 | - | 2010-12-06 |