| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| MIZUHO SECURITIES ASIA LIMITED | RO | 就期貨合約提供意見 | 2012-12-31 | 2013-08-13 |
| Rep | 期貨合約交易 | 2011-04-20 | 2013-08-13 | |
| RO | 期貨合約交易 | 2010-07-13 | 2011-04-20 | |
| RO | 就證券提供意見 | 2010-07-13 | 2013-08-13 | |
| RO | 提供資產管理 | 2010-07-13 | 2013-08-13 | |
| RO | 證券交易 | 2010-07-13 | 2013-08-13 | |
| Rep | 就證券提供意見 | 2010-01-08 | 2010-07-13 | |
| Rep | 提供資產管理 | 2010-01-08 | 2010-07-13 | |
| Rep | 期貨合約交易 | 2010-01-08 | 2010-07-13 | |
| Rep | 證券交易 | 2010-01-08 | 2010-07-13 | |
| Rabo Brokerage HK Limited | RO | 證券交易 | 2007-09-12 | 2008-11-01 |