| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Oppenheimer Investments Asia Limited | RO | 證券交易 | 2012-01-18 | 2014-06-30 |
| Rep | 證券交易 | 2010-10-13 | 2012-01-18 | |
| Morgan Stanley Asia Limited | Rep | 證券交易 | 2004-07-20 | 2008-01-21 |
| Morgan Stanley Hong Kong Futures Limited | Rep | 期貨合約交易 | 2004-07-20 | 2008-01-21 |