| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Morgan Stanley Hong Kong Securities Limited | Rep | 期貨合約交易 | 2010-12-06 | 2012-05-14 |
| Morgan Stanley Asia Limited | Rep | 證券交易 | 2007-05-07 | 2012-05-14 |
| Morgan Stanley Hong Kong Futures Limited | Rep | 期貨合約交易 | 2007-05-07 | 2010-12-06 |
| CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED | RO | 就證券提供意見 | 2004-06-07 | 2004-07-30 |
| RO | 就機構融資提供意見 | 2004-06-07 | 2005-04-13 | |
| RO | 證券交易 | 2004-06-07 | 2005-04-13 | |
| Rep | 提供資產管理 | - | 2003-12-31 | |
| Rep | 就機構融資提供意見 | - | 2004-06-07 | |
| Rep | 就證券提供意見 | - | 2004-06-07 | |
| Rep | 證券交易 | - | 2004-06-07 |