| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| AllianceBernstein Hong Kong Limited | RO | 就期貨合約提供意見 | 2008-01-03 | 2012-12-31 |
| RO | 就證券提供意見 | 2008-01-03 | 2012-12-31 | |
| RO | 期貨合約交易 | 2008-01-03 | 2012-12-31 | |
| RO | 證券交易 | 2008-01-03 | 2012-12-31 | |
| Rep | 就期貨合約提供意見 | 2007-02-06 | 2008-01-03 | |
| Rep | 就證券提供意見 | 2007-02-06 | 2008-01-03 | |
| Rep | 期貨合約交易 | 2007-02-06 | 2008-01-03 | |
| Rep | 證券交易 | 2006-09-27 | 2008-01-03 | |
| Rep | 提供資產管理 | 2006-09-27 | 2012-12-31 |