| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Standard Chartered Securities (Hong Kong) Limited | Rep | 就證券提供意見 | 2014-02-12 | 2015-10-27 |
| Rep | 證券交易 | 2014-02-12 | 2015-10-27 | |
| Rep | 就期貨合約提供意見 | 2013-01-24 | 2015-10-27 | |
| Rep | 期貨合約交易 | 2013-01-24 | 2015-10-27 | |
| Citigroup Global Markets Asia Limited | Rep | 證券交易 | 2007-06-04 | 2012-10-08 |
| CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | 期貨合約交易 | 2007-06-04 | 2012-10-08 |