| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| UBS SECURITIES ASIA LIMITED | Rep | 期貨合約交易 | 2009-02-03 | 2009-10-31 |
| Rep | 證券交易 | 2009-01-19 | 2009-10-31 | |
| Astrum Capital Management Limited (HK) | Rep | 提供資產管理 | 2007-04-17 | 2009-01-08 |
| RO | 證券交易 | 2007-04-17 | 2009-01-08 | |
| Rep | 證券交易 | 2007-03-20 | 2007-04-17 | |
| Merrill Lynch (Asia Pacific) Limited | Rep | 證券交易 | 2005-04-20 | 2007-02-17 |
| Merrill Lynch Far East Limited | Rep | 證券交易 | 2005-04-20 | 2007-02-17 |
| FOX-PITT, KELTON (ASIA) LIMITED | Rep | 就機構融資提供意見 | - | 2003-09-26 |
| Rep | 提供資產管理 | - | 2003-09-26 | |
| Rep | 就證券提供意見 | - | 2005-04-15 | |
| Rep | 證券交易 | - | 2005-04-15 |