| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Newedge Broker Hong Kong Limited | Rep | 期貨合約交易 | 2011-06-29 | 2011-10-01 |
| SG Asset Finance (Hong Kong) Limited | Rep | 期貨合約交易 | 2011-06-29 | 2011-10-01 |
| Rep | 證券交易 | 2011-06-29 | 2011-10-01 | |
| Jefferies Hong Kong Limited | Rep | 就機構融資提供意見 | 2010-01-27 | 2011-04-20 |
| Rep | 就證券提供意見 | 2010-01-27 | 2011-04-20 | |
| Rep | 證券交易 | 2010-01-27 | 2011-04-20 |