| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| FULBRIGHT FUTURES LIMITED | Rep | 期貨合約交易 | 2010-07-13 | - |
| FULBRIGHT SECURITIES LIMITED | Rep | 證券交易 | 2010-07-13 | - |
| KGI ASIA LIMITED | Rep | 證券交易 | 2008-03-19 | 2010-06-29 |
| KGI FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2008-03-19 | 2010-06-29 |
| PRUDENTIAL INDEX TRADING COMPANY LIMITED | Rep | 期貨合約交易 | 2005-11-07 | 2008-03-12 |
| PRUDENTIAL BROKERAGE LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-06-09 |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-06-09 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-06-09 | |
| Rep | 提供自動化交易服務 | 2003-04-01 | 2004-06-09 | |
| Rep | 證券交易 | 2003-04-01 | 2008-03-12 |