| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Merrill Lynch Far East Limited | Rep | 期貨合約交易 | 2010-09-03 | 2012-04-16 |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2008-05-19 | 2010-09-03 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 證券交易 | 2006-05-10 | 2012-04-16 |
| LEHMAN BROTHERS ASIA LIMITED | Rep | 就機構融資提供意見 | - | 2003-08-09 |
| Rep | 就證券提供意見 | - | 2003-08-09 | |
| Rep | 提供資產管理 | - | 2003-08-09 | |
| Rep | 提供自動化交易服務 | - | 2003-08-09 | |
| Rep | 證券交易 | - | 2006-03-20 |