| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| UBS SECURITIES ASIA LIMITED | Rep | 期貨合約交易 | 2023-10-30 | 2023-11-22 |
| Rep | 證券交易 | 2023-10-13 | 2023-11-22 | |
| Credit Suisse (Hong Kong) Limited | Rep | 證券交易 | 2007-04-16 | 2023-08-18 |
| Credit Suisse Securities (Hong Kong) Limited | Rep | 證券交易 | 2007-04-16 | 2013-10-30 |
| Merrill Lynch Far East Limited | Rep | 證券交易 | 2005-05-19 | 2007-03-03 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 提供資產管理 | - | 2005-01-25 |
| Rep | 就機構融資提供意見 | - | 2005-03-23 | |
| Rep | 就證券提供意見 | - | 2005-03-23 | |
| Rep | 提供自動化交易服務 | - | 2005-03-23 | |
| Rep | 證券交易 | - | 2007-03-03 |