| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Yuanta Asia Investment (Hong Kong) Limited | Rep | 就期貨合約提供意見 | 2009-03-23 | 2009-10-01 |
| Rep | 就證券提供意見 | 2009-03-23 | 2009-10-01 | |
| Rep | 期貨合約交易 | 2009-02-26 | 2009-10-01 | |
| Rep | 證券交易 | 2009-02-26 | 2009-10-01 | |
| Merrill Lynch (Asia Pacific) Limited | Rep | 證券交易 | 2007-08-22 | 2008-08-30 |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2007-08-22 | 2008-08-30 |