| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| BOCI SECURITIES LIMITED | Rep | 期貨合約交易 | 2013-12-05 | 2014-05-15 |
| Rep | 就證券提供意見 | 2013-10-29 | 2014-05-15 | |
| Rep | 證券交易 | 2013-10-29 | 2014-05-15 | |
| ICBC UBS Asset Management (International) Company Limited | Rep | 就證券提供意見 | 2012-11-09 | 2013-10-12 |
| Rep | 提供資產管理 | 2012-11-09 | 2013-10-12 | |
| TARGET CAPITAL MANAGEMENT LIMITED (HK) | Rep | 就證券提供意見 | 2009-07-06 | 2010-02-27 |
| Rep | 提供資產管理 | 2009-07-06 | 2010-02-27 |