| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CVP Capital Limited (HK) | Rep | 就機構融資提供意見 | 2014-11-13 | 2015-05-18 |
| Rep | 就證券提供意見 | 2014-11-13 | 2015-05-18 | |
| Rep | 證券交易 | 2014-11-13 | 2015-05-18 | |
| Merrill Lynch (Asia Pacific) Limited | Rep | 就證券提供意見 | 2011-11-14 | 2012-03-22 |
| Merrill Lynch Far East Limited | Rep | 期貨合約交易 | 2010-09-20 | 2012-03-22 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 證券交易 | 2005-04-15 | 2012-03-22 |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2005-04-15 | 2010-09-20 |