| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Julius Baer (Hong Kong) Limited | Rep | 就證券提供意見 | 2009-09-30 | 2011-06-13 |
| Rep | 證券交易 | 2009-09-04 | 2011-06-13 | |
| Merrill Lynch (Asia Pacific) Limited | Rep | 證券交易 | 2008-06-18 | 2009-07-01 |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2008-06-18 | 2009-07-01 |
| HANG SENG FUTURES LIMITED | Rep | 就期貨合約提供意見 | 2003-12-15 | 2005-10-28 |
| Rep | 期貨合約交易 | 2003-12-15 | 2005-10-28 | |
| HANG SENG INVESTMENT MANAGEMENT LIMITED | Rep | 就證券提供意見 | 2003-07-09 | 2005-10-28 |
| HANG SENG INVESTMENT SERVICES LIMITED | Rep | 就機構融資提供意見 | - | 2004-12-03 |
| Rep | 提供資產管理 | - | 2004-12-03 | |
| Rep | 就證券提供意見 | - | 2005-10-28 |