| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| BARCLAYS CAPITAL ASIA LIMITED | Rep | 期貨合約交易 | 2015-01-14 | 2016-01-21 |
| Rep | 證券交易 | 2015-01-14 | 2016-01-21 | |
| Daiwa Capital Markets Hong Kong Limited | Rep | 就證券提供意見 | 2011-04-11 | 2014-10-21 |
| Rep | 證券交易 | 2011-04-11 | 2014-10-21 | |
| Quam Securities Limited | Rep | 就證券提供意見 | 2010-04-23 | 2011-03-12 |
| Rep | 證券交易 | 2010-04-23 | 2011-03-12 |