| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| UOB KAY HIAN (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2015-02-13 | - |
| Rep | 證券交易 | 2015-02-13 | - | |
| UOB KAY HIAN FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2015-02-13 | - |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 證券交易 | 2012-04-23 | 2013-02-22 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 證券交易 | 2006-06-22 | 2007-05-19 |