| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Yuanta Securities (Hong Kong) Company Limited | RO | 就證券提供意見 | 2014-05-30 | - |
| Rep | 就證券提供意見 | 2012-08-14 | 2014-05-30 | |
| Daiwa Capital Markets Hong Kong Limited | Rep | 就證券提供意見 | 2009-08-24 | 2012-02-16 |
| DAIWA INSTITUTE OF RESEARCH (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2005-10-19 | 2012-01-30 |
| KINGSTON SECURITIES LIMITED | Rep | 提供自動化交易服務 | 2003-04-01 | 2003-07-04 |
| Rep | 就機構融資提供意見 | 2003-04-01 | 2004-08-23 | |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-08-23 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-08-23 | |
| Rep | 證券交易 | 2003-04-01 | 2005-09-27 |