| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| UBS SECURITIES ASIA LIMITED | Rep | 證券交易 | 2009-08-31 | 2010-05-03 |
| KBC FINANCIAL PRODUCTS HONG KONG LIMITED | Rep | 證券交易 | 2007-09-24 | 2009-08-22 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 證券交易 | 2006-08-11 | 2007-09-15 |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2006-08-11 | 2007-09-15 |