| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| RBC INVESTMENT SERVICES (ASIA) LIMITED | Rep | 就期貨合約提供意見 | 2018-09-14 | 2022-08-01 |
| Rep | 就證券提供意見 | 2018-09-14 | 2022-08-01 | |
| Rep | 期貨合約交易 | 2018-09-14 | 2022-08-01 | |
| Rep | 證券交易 | 2018-09-14 | 2022-08-01 | |
| Merrill Lynch (Asia Pacific) Limited | Rep | 就證券提供意見 | 2011-11-08 | 2013-05-11 |
| Merrill Lynch Far East Limited | Rep | 期貨合約交易 | 2010-09-08 | 2013-05-11 |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2003-12-13 | 2010-09-08 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 就機構融資提供意見 | - | 2003-10-16 |
| Rep | 就證券提供意見 | - | 2003-10-16 | |
| Rep | 提供資產管理 | - | 2003-10-16 | |
| Rep | 提供自動化交易服務 | - | 2003-10-16 | |
| Rep | 證券交易 | - | 2013-05-11 |