| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Nexus Investment Advisors Limited | RO | 就證券提供意見 | 2019-03-04 | 2020-11-11 |
| RO | 提供資產管理 | 2019-03-04 | 2020-11-11 | |
| RO | 證券交易 | 2017-06-21 | 2020-11-11 | |
| Rep | 就證券提供意見 | 2016-11-29 | 2019-03-04 | |
| Rep | 提供資產管理 | 2016-11-29 | 2019-03-04 | |
| BFAM Partners (Hong Kong) Limited | Rep | 提供資產管理 | 2014-09-08 | 2016-03-31 |
| Merrill Lynch Far East Limited | Rep | 期貨合約交易 | 2010-09-06 | 2014-08-02 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 就證券提供意見 | 2010-04-08 | 2014-08-02 |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2008-08-05 | 2010-09-06 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 證券交易 | 2006-04-03 | 2014-08-02 |