| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| MIZUHO SECURITIES ASIA LIMITED | Rep | 就證券提供意見 | 2014-06-09 | 2017-07-05 |
| Rep | 證券交易 | 2014-06-09 | 2017-07-05 | |
| UBS SECURITIES ASIA LIMITED | Rep | 期貨合約交易 | 2014-01-03 | 2014-03-08 |
| Rep | 證券交易 | 2014-01-03 | 2014-03-08 | |
| Merrill Lynch Far East Limited | Rep | 期貨合約交易 | 2010-08-20 | 2011-11-16 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 證券交易 | 2007-09-05 | 2011-11-16 |
| Merrill Lynch Far East Limited | Rep | 證券交易 | 2007-09-05 | 2011-11-16 |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2007-09-05 | 2010-08-20 |