| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Leonteq Securities (Hong Kong) Limited | RO | 就證券提供意見 | 2018-06-07 | 2019-11-27 |
| RO | 證券交易 | 2018-06-07 | 2019-11-27 | |
| Rep | 就證券提供意見 | 2018-05-02 | 2018-06-07 | |
| Rep | 證券交易 | 2018-05-02 | 2018-06-07 | |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 證券交易 | 2010-06-08 | 2015-01-30 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2010-06-08 | 2015-01-30 |
| DEUTSCHE SECURITIES ASIA LIMITED | Rep | 期貨合約交易 | 2006-11-30 | 2010-03-03 |
| Rep | 證券交易 | 2006-11-30 | 2010-03-03 |