| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED | Rep | 就證券提供意見 | 2012-03-15 | 2012-07-20 |
| BARCLAYS CAPITAL ASIA LIMITED | Rep | 就證券提供意見 | 2011-07-25 | 2012-03-02 |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2010-08-02 | 2011-07-16 |
| Quam Securities Limited | Rep | 就證券提供意見 | 2009-10-15 | 2010-03-22 |
| Rep | 期貨合約交易 | 2008-11-07 | 2010-03-22 | |
| Rep | 證券交易 | 2008-11-07 | 2010-03-22 |