| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | 就證券提供意見 | 2011-12-13 | 2013-08-31 |
| Rep | 證券交易 | 2008-04-14 | 2013-08-31 | |
| ETRADE SECURITIES (HONG KONG) LIMITED | Rep | 槓桿式外匯交易 | 2005-07-20 | 2008-03-17 |
| Rep | 就證券提供意見 | 2005-05-27 | 2008-03-17 | |
| Rep | 證券交易 | 2005-05-27 | 2008-03-17 |