| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| China Vered Asset Management (Hong Kong) Limited | RO | 就證券提供意見 | 2014-06-20 | 2016-06-30 |
| RO | 提供資產管理 | 2014-06-20 | 2016-06-30 | |
| Rep | 提供資產管理 | 2013-05-15 | 2014-06-20 | |
| AMPLE CAPITAL LIMITED | Rep | 提供資產管理 | 2010-08-23 | 2013-02-28 |
| BEAR STEARNS ASIA LIMITED | Rep | 就期貨合約提供意見 | 2005-12-02 | 2008-10-01 |
| Rep | 期貨合約交易 | 2005-12-02 | 2008-10-01 | |
| Rep | 就機構融資提供意見 | - | 2004-12-15 | |
| Rep | 就證券提供意見 | - | 2004-12-15 | |
| Rep | 提供資產管理 | - | 2004-12-15 | |
| Rep | 提供自動化交易服務 | - | 2004-12-15 | |
| Rep | 證券交易 | - | 2008-10-01 | |
| BEAR STEARNS HONG KONG LIMITED | Rep | 提供資產管理 | - | 2004-12-15 |
| Rep | 就期貨合約提供意見 | - | 2008-10-01 | |
| Rep | 期貨合約交易 | - | 2008-10-01 |