| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| BOCOM International Securities Limited | RO | 就證券提供意見 | 2017-09-20 | 2019-05-31 |
| Rep | 就證券提供意見 | 2011-07-19 | 2017-09-20 | |
| MF Global Hong Kong Limited | Rep | 就證券提供意見 | 2010-12-17 | 2011-06-30 |
| Daiwa Capital Markets Hong Kong Limited | Rep | 就證券提供意見 | 2009-08-24 | 2010-08-04 |
| DAIWA INSTITUTE OF RESEARCH (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2003-11-20 | 2010-08-04 |
| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | 就證券提供意見 | 2003-10-24 | 2003-11-12 |