| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| J.P. MORGAN BROKING (HONG KONG) LIMITED | RO | 就證券提供意見 | 2014-06-17 | 2015-11-03 |
| RO | 證券交易 | 2014-06-17 | 2015-11-03 | |
| J.P. MORGAN SECURITIES (FAR EAST) LIMITED | RO | 就證券提供意見 | 2014-06-17 | 2017-05-11 |
| RO | 證券交易 | 2014-06-17 | 2017-05-11 | |
| J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2013-08-05 | 2014-06-17 |
| Rep | 證券交易 | 2013-08-05 | 2014-06-17 | |
| UBS SECURITIES ASIA LIMITED | Rep | 證券交易 | 2010-07-23 | 2013-05-03 |
| Rep | 證券交易 | 2009-03-16 | 2009-06-16 |