| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | 就期貨合約提供意見 | 2010-07-16 | 2012-05-10 |
| Rep | 就證券提供意見 | 2010-07-16 | 2012-05-10 | |
| Rep | 期貨合約交易 | 2010-07-16 | 2012-05-10 | |
| Rep | 證券交易 | 2010-07-16 | 2012-05-10 | |
| Credit Suisse (Hong Kong) Limited | Rep | 提供自動化交易服務 | 2009-03-16 | 2010-05-28 |
| Rep | 期貨合約交易 | 2009-03-16 | 2010-05-28 | |
| Rep | 證券交易 | 2009-03-09 | 2010-05-28 | |
| Rep | 證券交易 | 2008-09-24 | 2008-12-11 | |
| Credit Suisse Securities (Hong Kong) Limited | Rep | 證券交易 | 2008-09-24 | 2008-12-11 |