| 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 | 2007-11-14 | 2011-06-13 |
| Rep | 證券交易 | 2007-11-09 | 2011-06-13 | |
| Morgan Stanley Asia Limited | Rep | 提供自動化交易服務 | 2006-02-27 | 2007-10-29 |
| Rep | 證券交易 | 2006-02-27 | 2007-10-29 | |
| Morgan Stanley Hong Kong Futures Limited | Rep | 提供自動化交易服務 | 2006-02-27 | 2007-10-29 |
| Rep | 期貨合約交易 | 2006-02-27 | 2007-10-29 |