| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | 證券交易 | 2015-01-22 | 2017-03-16 |
| BARCLAYS CAPITAL ASIA LIMITED | Rep | 期貨合約交易 | 2011-11-07 | 2013-01-24 |
| Rep | 證券交易 | 2011-06-02 | 2013-01-24 | |
| J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | 就機構融資提供意見 | - | 2003-12-02 |
| Rep | 提供資產管理 | - | 2003-12-02 | |
| Rep | 提供自動化交易服務 | - | 2003-12-02 | |
| Rep | 就證券提供意見 | - | 2010-05-26 | |
| Rep | 證券交易 | - | 2010-05-26 |