| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| ETRADE SECURITIES (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2006-05-22 | 2006-09-13 |
| Rep | 證券交易 | 2006-05-22 | 2006-09-13 | |
| Rep | 槓桿式外匯交易 | 2006-04-12 | 2006-09-13 | |
| CINDA INTERNATIONAL INVESTMENT MANAGEMENT LIMITED | Rep | 槓桿式外匯交易 | 2005-07-15 | 2006-03-16 |
| CINDA INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2005-03-07 | 2006-03-16 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 期貨合約交易 | 2004-08-26 | 2005-02-22 |