| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Standard Chartered Securities (Hong Kong) Limited | RO | 就機構融資提供意見 | 2010-01-13 | 2020-07-20 |
| RO | 就證券提供意見 | 2010-01-13 | 2020-07-20 | |
| RO | 證券交易 | 2010-01-13 | 2020-07-20 | |
| Rep | 就機構融資提供意見 | 2009-10-08 | 2010-01-13 | |
| Rep | 就證券提供意見 | 2009-10-08 | 2010-01-13 | |
| Rep | 證券交易 | 2009-10-08 | 2010-01-13 | |
| Merrill Lynch (Asia Pacific) Limited | Rep | 就機構融資提供意見 | 2005-06-01 | 2009-07-07 |
| Rep | 就證券提供意見 | 2005-06-01 | 2009-07-07 | |
| Rep | 證券交易 | 2005-06-01 | 2009-07-07 | |
| Merrill Lynch Far East Limited | Rep | 就機構融資提供意見 | 2005-06-01 | 2009-07-07 |
| Rep | 就證券提供意見 | 2005-06-01 | 2009-07-07 | |
| Rep | 證券交易 | 2005-06-01 | 2009-07-07 |