| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| MIZUHO SECURITIES ASIA LIMITED | Rep | 就證券提供意見 | 2013-09-05 | 2017-11-30 |
| Rep | 證券交易 | 2013-09-05 | 2017-11-30 | |
| BARCLAYS CAPITAL ASIA LIMITED | Rep | 期貨合約交易 | 2012-02-16 | 2013-05-30 |
| Rep | 證券交易 | 2012-02-16 | 2013-05-30 | |
| NOMURA SECURITIES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2010-02-04 | 2011-11-19 |
| Nomura Asia Investment (Hong Kong) Limited | Rep | 期貨合約交易 | 2010-01-04 | 2010-02-19 |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2010-01-04 | 2011-11-19 |
| Rep | 證券交易 | 2010-01-04 | 2011-11-19 | |
| Rep | 期貨合約交易 | 2007-08-22 | 2007-08-24 | |
| Rep | 證券交易 | 2007-08-22 | 2007-08-24 |