| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Morgan Stanley Asia Limited | Rep | 提供自動化交易服務 | 2011-08-03 | 2013-07-02 |
| Rep | 證券交易 | 2011-08-03 | 2013-07-02 | |
| Morgan Stanley Hong Kong Securities Limited | Rep | 期貨合約交易 | 2011-08-03 | 2013-07-02 |
| Rep | 證券交易 | 2011-08-03 | 2013-07-02 | |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 證券交易 | 2007-06-01 | 2011-05-05 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2007-06-01 | 2011-05-05 |