| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| RBC INVESTMENT SERVICES (ASIA) LIMITED | Rep | 期貨合約交易 | 2008-10-10 | 2013-02-28 |
| Rep | 證券交易 | 2008-10-10 | 2013-02-28 | |
| CITIC Securities Futures (HK) Limited | Rep | 期貨合約交易 | 2004-11-11 | 2008-09-16 |
| CITIC Securities Brokerage (HK) Limited | Rep | 證券交易 | 2004-11-01 | 2008-09-16 |
| DBS VICKERS (HONG KONG) LIMITED | Rep | 證券交易 | 2003-10-30 | 2004-08-12 |
| DBS VICKERS SECURITIES (HONG KONG) LIMITED DBS | Rep | 就機構融資提供意見 | - | 2003-10-21 |
| Rep | 就證券提供意見 | - | 2003-10-21 | |
| Rep | 提供資產管理 | - | 2003-10-21 | |
| Rep | 證券交易 | - | 2003-10-22 |