| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Sanford C. Bernstein (Hong Kong) Limited | Rep | 就證券提供意見 | 2011-10-24 | 2012-05-18 |
| Rep | 證券交易 | 2011-10-24 | 2012-05-18 | |
| AllianceBernstein Hong Kong Limited | Rep | 就證券提供意見 | 2011-01-14 | 2011-10-24 |
| Rep | 證券交易 | 2011-01-14 | 2011-10-24 | |
| Merrill Lynch (Asia Pacific) Limited | Rep | 就機構融資提供意見 | 2009-07-29 | 2010-11-29 |
| Rep | 就證券提供意見 | 2009-07-29 | 2010-11-29 | |
| Rep | 證券交易 | 2009-07-29 | 2010-11-29 | |
| Merrill Lynch Far East Limited | Rep | 就機構融資提供意見 | 2009-07-29 | 2010-11-29 |
| Rep | 就證券提供意見 | 2009-07-29 | 2010-11-29 | |
| Rep | 證券交易 | 2009-07-29 | 2010-11-29 |