| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| LA ROCHE & CO ASIA LIMITED | Rep | 就證券提供意見 | 2010-06-21 | 2011-09-01 |
| Rep | 證券交易 | 2010-06-21 | 2011-09-01 | |
| NOMURA SECURITIES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2010-02-03 | 2010-02-27 |
| Nomura Asia Investment (Hong Kong) Limited | Rep | 期貨合約交易 | 2008-11-27 | 2010-02-19 |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2008-11-27 | 2010-02-27 |
| Rep | 證券交易 | 2008-11-27 | 2010-02-27 | |
| Merrill Lynch (Asia Pacific) Limited | Rep | 證券交易 | 2007-04-17 | 2008-11-08 |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2007-04-17 | 2008-11-08 |