| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| UOB KAY HIAN (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2014-01-14 | - |
| Rep | 證券交易 | 2014-01-14 | - | |
| UOB KAY HIAN FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2014-01-14 | - |
| Merrill Lynch (Asia Pacific) Limited | Rep | 就證券提供意見 | 2011-11-24 | 2013-10-17 |
| Merrill Lynch Far East Limited | Rep | 期貨合約交易 | 2010-09-07 | 2013-10-17 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 證券交易 | 2006-03-22 | 2013-10-17 |