| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED | Rep | 證券交易 | 2006-02-06 | - |
| INSTINET PACIFIC LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-06-07 |
| Rep | 提供資產管理 | 2003-04-01 | 2004-06-07 | |
| Rep | 就證券提供意見 | 2003-04-01 | 2006-01-31 | |
| Rep | 提供自動化交易服務 | 2003-04-01 | 2006-01-31 | |
| Rep | 證券交易 | 2003-04-01 | 2006-01-31 |