| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | RO | 證券交易 | 2016-12-02 | 2017-06-02 |
| Rep | 證券交易 | 2014-08-26 | 2016-12-02 | |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 證券交易 | 2010-08-06 | 2014-05-31 |
| Rep | 就證券提供意見 | 2009-02-20 | 2010-08-09 | |
| LEHMAN BROTHERS ASIA LIMITED | Rep | 期貨合約交易 | 2008-06-02 | 2008-06-07 |
| Rep | 證券交易 | 2008-06-02 | 2008-06-07 |