| 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 | 2009-09-23 | 2010-10-01 |
| Rep | 期貨合約交易 | 2009-09-23 | 2010-10-01 | |
| Rep | 就證券提供意見 | 2009-09-23 | 2012-09-01 | |
| Rep | 證券交易 | 2009-09-23 | 2012-09-01 | |
| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | 證券交易 | 2007-07-24 | 2007-07-28 |
| CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2007-07-24 | 2007-07-28 |
| KBC FINANCIAL PRODUCTS HONG KONG LIMITED | Rep | 證券交易 | 2004-05-07 | 2007-01-11 |