| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| HSBC SECURITIES BROKERS (ASIA) LIMITED | Rep | 證券交易 | 2010-06-02 | - |
| ICAP Equities Asia Limited | Rep | 證券交易 | 2009-03-18 | 2010-04-13 |
| GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | 證券交易 | 2004-05-14 | 2009-01-17 |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 證券交易 | 2004-05-10 | 2009-01-17 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2004-05-10 | 2009-01-17 |
| Newedge Broker Limited | Rep | 就期貨合約提供意見 | 2003-04-01 | 2003-10-09 |
| Rep | 提供資產管理 | 2003-04-01 | 2003-10-09 | |
| Rep | 提供自動化交易服務 | 2003-04-01 | 2004-05-07 | |
| Rep | 期貨合約交易 | 2003-04-01 | 2004-05-07 | |
| Rep | 證券交易 | 2003-04-01 | 2004-05-07 |