| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Knight Capital Asia Limited | RO | 就證券提供意見 | 2009-07-22 | 2010-01-14 |
| RO | 證券交易 | 2009-07-22 | 2010-01-14 | |
| Knight Libertas (Asia) Limited | RO | 就證券提供意見 | 2009-07-09 | 2010-01-14 |
| RO | 證券交易 | 2009-07-09 | 2010-01-14 | |
| Daiwa Capital Markets Hong Kong Limited | Rep | 證券交易 | 2004-05-17 | 2005-11-10 |
| Rep | 證券交易 | 2003-07-24 | 2004-04-12 |