| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Jefferies Hong Kong Limited | Rep | 證券交易 | 2021-11-30 | - |
| Merrill Lynch (Asia Pacific) Limited | Rep | 證券交易 | 2012-06-04 | 2018-12-19 |
| Merrill Lynch Far East Limited | Rep | 期貨合約交易 | 2012-06-04 | 2021-07-19 |
| Rep | 證券交易 | 2012-06-04 | 2021-07-19 | |
| Yuanta Securities (Hong Kong) Company Limited | RO | 就證券提供意見 | 2012-01-19 | 2012-04-26 |
| Rep | 就證券提供意見 | 2009-09-17 | 2012-01-19 | |
| RO | 證券交易 | 2009-08-05 | 2012-04-26 | |
| Rep | 證券交易 | 2009-04-28 | 2009-08-05 | |
| HSBC SECURITIES (ASIA) LIMITED | RO | 證券交易 | 2007-07-23 | 2009-02-18 |
| HSBC SECURITIES BROKERS (ASIA) LIMITED | RO | 證券交易 | 2007-05-08 | 2009-02-18 |
| Rep | 證券交易 | 2006-08-18 | 2007-05-08 |