| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Morgan Stanley Hong Kong Futures Limited | Rep | 期貨合約交易 | 2007-11-01 | 2008-11-07 |
| Morgan Stanley Asia Limited | Rep | 證券交易 | 2007-09-24 | 2008-11-07 |
| AIA WEALTH MANAGEMENT COMPANY LIMITED | Rep | 就證券提供意見 | 2007-07-17 | 2007-09-18 |
| Rep | 證券交易 | 2007-07-17 | 2007-09-18 | |
| THORNTON GLOBAL WEALTH MANAGEMENT LIMITED | Rep | 就證券提供意見 | 2005-02-21 | 2007-06-11 |