| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | 就期貨合約提供意見 | 2017-09-05 | 2020-01-31 |
| Rep | 期貨合約交易 | 2017-09-05 | 2020-01-31 | |
| Barrenjoey Asia Limited | Rep | 就證券提供意見 | 2015-11-02 | 2017-08-25 |
| Rep | 證券交易 | 2015-01-28 | 2017-08-25 | |
| Religare Capital Markets (Hong Kong) Limited | Rep | 證券交易 | 2014-02-13 | 2014-09-30 |