| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Leonteq Securities (Hong Kong) Limited | Rep | 就證券提供意見 | 2016-07-14 | 2017-08-07 |
| Rep | 證券交易 | 2016-07-14 | 2017-08-07 | |
| Merrill Lynch (Asia Pacific) Limited | Rep | 證券交易 | 2014-04-07 | 2016-03-08 |
| Merrill Lynch Far East Limited | Rep | 期貨合約交易 | 2014-04-07 | 2016-03-08 |
| Rep | 證券交易 | 2014-04-07 | 2016-03-08 |