| 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 | 2011-03-15 | 2020-11-26 |
| Rep | 期貨合約交易 | 2009-06-17 | 2016-05-05 | |
| Rep | 證券交易 | 2007-07-31 | 2020-11-26 | |
| Nomura Asia Investment (Hong Kong) Limited | Rep | 期貨合約交易 | 2004-06-03 | 2007-07-28 |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2004-06-03 | 2007-07-28 |
| Rep | 證券交易 | 2004-06-03 | 2007-07-28 | |
| DAIWA SECURITIES SMBC FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2003-07-22 | 2004-05-31 |
| Daiwa Capital Markets Hong Kong Limited | Rep | 證券交易 | 2003-04-10 | 2004-05-31 |