| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| RBC INVESTMENT SERVICES (ASIA) LIMITED | Rep | 就期貨合約提供意見 | 2011-02-11 | 2013-04-08 |
| Rep | 就證券提供意見 | 2011-02-11 | 2013-04-08 | |
| Rep | 期貨合約交易 | 2011-02-11 | 2013-04-08 | |
| Rep | 證券交易 | 2011-02-11 | 2013-04-08 | |
| CHIEF COMMODITIES LIMITED | Rep | 期貨合約交易 | 2010-10-25 | 2010-10-28 |
| CHIEF SECURITIES LIMITED | Rep | 證券交易 | 2010-10-25 | 2010-10-28 |
| CES Commodities (HK) Limited | Rep | 期貨合約交易 | 2009-08-07 | 2010-10-15 |
| Everbright Securities Investment Services (HK) Limited | Rep | 證券交易 | 2009-08-07 | 2010-10-15 |