| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| DAIWA SECURITIES SMBC FUTURES (ASIA) LIMITED | RO | 期貨合約交易 | 2006-04-19 | 2007-07-17 |
| Daiwa Capital Markets Hong Kong Limited | RO | 就證券提供意見 | 2005-07-15 | 2007-07-17 |
| RO | 證券交易 | 2005-07-15 | 2007-07-17 | |
| Rep | 就機構融資提供意見 | - | 2005-02-07 | |
| Rep | 就證券提供意見 | - | 2005-02-07 | |
| Rep | 提供資產管理 | - | 2005-02-07 | |
| Rep | 證券交易 | - | 2005-07-15 | |
| DAIWA SECURITIES SMBC FUTURES (ASIA) LIMITED | Rep | 就期貨合約提供意見 | - | 2005-02-07 |
| Rep | 提供資產管理 | - | 2005-02-07 | |
| Rep | 期貨合約交易 | - | 2006-04-19 |