| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Daiwa Capital Markets Hong Kong Limited | RO | 期貨合約交易 | 2007-10-05 | 2008-04-17 |
| DAIWA SECURITIES SMBC FUTURES (ASIA) LIMITED | RO | 期貨合約交易 | 2007-02-02 | 2007-11-01 |
| Daiwa Capital Markets Hong Kong Limited | RO | 就證券提供意見 | 2006-07-26 | 2008-04-17 |
| RO | 證券交易 | 2006-07-26 | 2008-04-17 | |
| RO | 就機構融資提供意見 | 2006-05-26 | 2008-04-17 |