| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2016-11-25 | 2018-10-18 |
| Rep | 證券交易 | 2016-11-25 | 2018-10-18 | |
| Merrill Lynch (Asia Pacific) Limited | Rep | 就證券提供意見 | 2011-10-19 | 2013-11-09 |
| Merrill Lynch Far East Limited | Rep | 期貨合約交易 | 2010-08-31 | 2013-11-09 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 證券交易 | 2007-08-01 | 2013-11-09 |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2007-08-01 | 2010-08-31 |