| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CLSA FUTURES LIMITED | Rep | 期貨合約交易 | 2013-08-23 | 2014-11-07 |
| CLSA LIMITED | Rep | 證券交易 | 2013-08-23 | 2014-11-07 |
| Merrill Lynch Far East Limited | Rep | 期貨合約交易 | 2010-09-10 | 2010-10-05 |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2007-11-13 | 2010-09-10 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 證券交易 | 2006-06-02 | 2010-10-05 |
| KAISER FUTURES LIMITED | Rep | 期貨合約交易 | 2004-10-15 | 2005-01-22 |
| KAISER SECURITIES LIMITED | Rep | 證券交易 | 2004-10-15 | 2005-01-22 |