| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 就機構融資提供意見 | 2018-06-11 | 2021-08-10 |
| Rep | 就證券提供意見 | 2018-01-08 | - | |
| Rep | 證券交易 | 2018-01-08 | - | |
| Citigroup Global Markets Asia Limited | Rep | 期貨合約交易 | 2013-06-17 | 2016-02-13 |
| Rep | 證券交易 | 2011-07-08 | 2016-02-13 | |
| CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | 期貨合約交易 | 2011-07-08 | 2013-08-31 |
| Rep | 證券交易 | 2011-07-08 | 2013-08-31 | |
| J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2008-08-28 | 2010-05-06 |
| Rep | 證券交易 | 2008-08-28 | 2010-05-06 |