| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| MIZUHO SECURITIES ASIA LIMITED | Rep | 就證券提供意見 | 2017-10-03 | - |
| Rep | 證券交易 | 2013-01-21 | - | |
| Rep | 證券交易 | 2011-03-16 | 2012-03-23 | |
| GFI (HK) SECURITIES L.L.C. | Rep | 證券交易 | 2008-11-14 | 2010-07-16 |
| BEAR STEARNS ASIA LIMITED | Rep | 期貨合約交易 | 2005-12-01 | 2008-07-01 |
| Rep | 就機構融資提供意見 | 2003-04-01 | 2004-12-09 | |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-12-09 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-12-09 | |
| Rep | 提供自動化交易服務 | 2003-04-01 | 2004-12-09 | |
| Rep | 證券交易 | 2003-04-01 | 2008-07-01 | |
| BEAR STEARNS HONG KONG LIMITED | Rep | 就期貨合約提供意見 | 2003-04-01 | 2004-12-09 |
| Rep | 提供資產管理 | 2003-04-01 | 2004-12-09 | |
| Rep | 期貨合約交易 | 2003-04-01 | 2004-12-09 |