| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Morgan Stanley Asia Limited | Rep | 證券交易 | 2017-08-15 | 2018-12-21 |
| Morgan Stanley Hong Kong Securities Limited | Rep | 期貨合約交易 | 2017-08-15 | 2018-12-21 |
| Credit Suisse (Hong Kong) Limited | Rep | 就機構融資提供意見 | 2007-05-07 | 2009-11-01 |
| Rep | 就證券提供意見 | 2007-05-07 | 2009-11-01 | |
| Rep | 證券交易 | 2007-05-07 | 2009-11-01 |