| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Daiwa Capital Markets Hong Kong Limited | Rep | 期貨合約交易 | 2010-07-02 | 2024-03-28 |
| Rep | 證券交易 | 2010-07-02 | 2024-03-28 | |
| DEUTSCHE SECURITIES ASIA LIMITED | Rep | 期貨合約交易 | 2006-06-20 | 2010-03-11 |
| Rep | 就機構融資提供意見 | - | 2004-01-08 | |
| Rep | 提供資產管理 | - | 2004-01-08 | |
| Rep | 就證券提供意見 | - | 2004-04-17 | |
| Rep | 證券交易 | - | 2010-03-11 |