| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Vantage Capital Markets HK Limited | Rep | 期貨合約交易 | 2011-12-28 | 2013-02-28 |
| Rep | 證券交易 | 2011-12-28 | 2013-02-28 | |
| Macquarie Asia Securities Limited | Rep | 期貨合約交易 | 2010-11-03 | 2011-11-03 |
| MACQUARIE CAPITAL LIMITED | Rep | 證券交易 | 2010-11-03 | 2011-11-03 |
| J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | 就期貨合約提供意見 | 2008-03-04 | 2010-08-04 |
| Rep | 就證券提供意見 | 2008-03-04 | 2010-08-04 | |
| Rep | 期貨合約交易 | 2008-03-04 | 2010-08-04 | |
| Rep | 證券交易 | 2008-03-04 | 2010-08-04 | |
| Credit Agricole Securities (Asia) Limited | Rep | 證券交易 | 2005-09-28 | 2006-10-01 |