| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Janus Henderson Investors Hong Kong Limited | Rep | 就證券提供意見 | 2013-03-15 | 2014-03-10 |
| Rep | 證券交易 | 2013-03-15 | 2014-03-10 | |
| Merrill Lynch Far East Limited | Rep | 期貨合約交易 | 2010-09-06 | 2012-04-02 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 證券交易 | 2008-04-10 | 2012-04-02 |
| Merrill Lynch Far East Limited | Rep | 證券交易 | 2008-04-10 | 2012-04-02 |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2008-04-10 | 2010-09-06 |