| 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 | 2008-04-07 | 2011-06-13 |
| Rep | 證券交易 | 2008-04-07 | 2011-06-13 | |
| CHARLES SCHWAB, HONG KONG, LIMITED | Rep | 就期貨合約提供意見 | 2004-10-28 | 2004-12-14 |
| Rep | 就證券提供意見 | 2004-10-28 | 2004-12-14 | |
| Rep | 證券交易 | 2004-05-25 | 2004-12-14 |