| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Kaifeng Investment Management (Hong Kong) Limited | RO | 就證券提供意見 | 2016-11-04 | - |
| RO | 提供資產管理 | 2016-11-04 | - | |
| Merrill Lynch Far East Limited | Rep | 期貨合約交易 | 2010-09-06 | 2014-03-27 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 就證券提供意見 | 2010-05-26 | 2014-03-27 |
| Rep | 證券交易 | 2010-01-04 | 2014-03-27 | |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2010-01-04 | 2010-09-06 |