| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Jefferies Hong Kong Limited | RO | 證券交易 | 2011-01-13 | 2018-06-15 |
| Rep | 證券交易 | 2010-10-15 | 2011-01-13 | |
| CLSA FUTURES LIMITED | Rep | 期貨合約交易 | 2005-08-04 | 2010-07-19 |
| CLSA LIMITED | Rep | 證券交易 | 2005-08-04 | 2010-07-19 |
| CLSA FUTURES LIMITED | RO | 期貨合約交易 | 2005-02-01 | 2005-08-04 |
| CLSA LIMITED | RO | 證券交易 | 2005-02-01 | 2005-08-04 |
| CLSA FUTURES LIMITED | Rep | 期貨合約交易 | 2004-12-22 | 2005-02-01 |
| CLSA LIMITED | Rep | 證券交易 | 2004-12-22 | 2005-02-01 |
| DEUTSCHE SECURITIES ASIA LIMITED | Rep | 就機構融資提供意見 | - | 2004-01-08 |
| Rep | 提供資產管理 | - | 2004-01-08 | |
| Rep | 就證券提供意見 | - | 2004-04-16 | |
| Rep | 證券交易 | - | 2004-11-16 |