| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2012-10-24 | 2014-03-21 |
| Rep | 期貨合約交易 | 2012-10-24 | 2014-03-21 | |
| Rep | 證券交易 | 2012-10-24 | 2014-03-21 | |
| RO | 就證券提供意見 | 2011-03-15 | 2012-10-24 | |
| RO | 期貨合約交易 | 2011-03-15 | 2012-10-24 | |
| RO | 證券交易 | 2011-03-15 | 2012-10-24 | |
| Rep | 就證券提供意見 | 2010-04-22 | 2011-03-15 | |
| Rep | 期貨合約交易 | 2010-04-22 | 2011-03-15 | |
| Rep | 證券交易 | 2010-04-22 | 2011-03-15 | |
| Rep | 就機構融資提供意見 | 2010-04-22 | 2013-06-01 |