| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | 就期貨合約提供意見 | 2008-06-23 | 2010-09-17 |
| Rep | 就證券提供意見 | 2008-06-23 | 2010-09-17 | |
| Rep | 期貨合約交易 | 2008-05-29 | 2010-09-17 | |
| Rep | 證券交易 | 2008-05-29 | 2010-09-17 | |
| BEAR STEARNS ASIA LIMITED | Rep | 期貨合約交易 | 2007-08-15 | 2009-11-23 |
| Rep | 證券交易 | 2007-08-15 | 2009-11-23 | |
| SG SECURITIES (HK) LIMITED | Rep | 證券交易 | 2004-01-13 | 2005-10-03 |