| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| PRUDENTIAL BROKERAGE LIMITED | Rep | 證券交易 | 2003-04-01 | - |
| Rep | 就機構融資提供意見 | 2003-04-01 | 2004-03-17 | |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-03-17 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-03-17 | |
| Rep | 提供自動化交易服務 | 2003-04-01 | 2004-03-17 | |
| PRUDENTIAL INDEX TRADING COMPANY LIMITED | Rep | 就期貨合約提供意見 | 2003-04-01 | 2004-03-17 |
| Rep | 提供資產管理 | 2003-04-01 | 2004-03-17 | |
| Rep | 期貨合約交易 | 2003-04-01 | 2006-04-20 |