| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| UBS SECURITIES ASIA LIMITED | Rep | 期貨合約交易 | 2011-09-06 | 2015-07-14 |
| Rep | 證券交易 | 2011-09-06 | 2015-07-14 | |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 證券交易 | 2008-10-10 | 2011-04-16 |
| LEHMAN BROTHERS ASIA LIMITED | Rep | 證券交易 | 2006-08-04 | 2008-09-29 |
| DEUTSCHE SECURITIES ASIA LIMITED | Rep | 就機構融資提供意見 | - | 2004-01-08 |
| Rep | 提供資產管理 | - | 2004-01-08 | |
| Rep | 就證券提供意見 | - | 2004-04-17 | |
| Rep | 證券交易 | - | 2006-06-05 |