| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| MACQUARIE CAPITAL LIMITED | RO | 證券交易 | 2013-01-24 | 2015-03-31 |
| Rep | 就機構融資提供意見 | 2012-04-26 | 2015-03-31 | |
| Macquarie Corporate (Hong Kong) Limited | Rep | 就機構融資提供意見 | 2012-04-26 | 2015-03-31 |
| MACQUARIE CAPITAL LIMITED | Rep | 證券交易 | 2009-11-04 | 2013-01-24 |
| SFGHK Limited | RO | 證券交易 | 2009-06-15 | 2009-10-15 |
| Rep | 證券交易 | 2009-05-26 | 2009-06-15 | |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2008-05-16 | 2009-02-16 |
| Merrill Lynch Far East Limited | Rep | 證券交易 | 2005-04-23 | 2009-02-16 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 證券交易 | 2003-10-31 | 2009-02-16 |