| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| DAIWA CAPITAL MARKETS TRADING HONG KONG LIMITED | Rep | 期貨合約交易 | 2008-06-16 | 2010-11-20 |
| Rep | 證券交易 | 2008-03-26 | 2010-11-20 | |
| KBC FINANCIAL PRODUCTS HONG KONG LIMITED | Rep | 證券交易 | 2007-06-15 | 2011-10-31 |
| Credit Suisse (Hong Kong) Limited | Rep | 就證券提供意見 | 2004-08-25 | 2007-05-11 |