| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| UOB KAY HIAN (HONG KONG) LIMITED | Rep | 證券交易 | 2009-12-30 | 2013-04-25 |
| UOB KAY HIAN FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2009-12-30 | 2013-04-25 |
| CHINA MERCHANTS FUTURES (HK) CO., LIMITED | Rep | 期貨合約交易 | 2009-03-13 | 2009-08-28 |
| CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | 證券交易 | 2009-01-21 | 2009-08-28 |