| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Credit Suisse (Hong Kong) Limited | RO | 就證券提供意見 | 2013-07-08 | 2014-01-23 |
| Rep | 就證券提供意見 | 2008-08-13 | 2013-07-08 | |
| LEHMAN BROTHERS ASIA LIMITED | Rep | 期貨合約交易 | 2007-04-30 | 2008-03-04 |
| Rep | 證券交易 | 2007-04-30 | 2008-03-04 | |
| BREVAN HOWARD (HONG KONG) LIMITED | RO | 提供資產管理 | 2006-06-16 | 2007-01-12 |
| Rep | 提供資產管理 | 2005-12-28 | 2006-06-16 | |
| HSBC SECURITIES (ASIA) LIMITED | RO | 就證券提供意見 | - | 2005-09-30 |