| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Jefferies Hong Kong Limited | Rep | 證券交易 | 2011-07-19 | 2015-02-28 |
| BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | 提供自動化交易服務 | 2009-11-26 | 2011-07-15 |
| Rep | 證券交易 | 2008-07-28 | 2011-07-15 | |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 證券交易 | 2005-03-11 | 2008-06-24 |
| CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | 證券交易 | 2003-10-29 | 2005-03-10 |
| Citigroup Global Markets Asia Limited | Rep | 證券交易 | 2003-08-05 | 2005-03-10 |