| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| Standard Chartered Securities (Hong Kong) Limited | RO | 就机构融资提供意见 | 2005-09-08 | 2009-01-30 |
| RO | 就证券提供意见 | 2005-09-08 | 2009-01-30 | |
| RO | 证券交易 | 2005-09-08 | 2009-01-30 | |
| Rep | 就机构融资提供意见 | 2005-07-04 | 2005-09-08 | |
| Rep | 就证券提供意见 | 2005-07-04 | 2005-09-08 | |
| Rep | 证券交易 | 2005-07-04 | 2005-09-08 | |
| Morgan Stanley Asia Limited | Rep | 就机构融资提供意见 | 2004-09-20 | 2005-05-25 |
| Rep | 就机构融资提供意见 | - | 2004-02-11 | |
| Rep | 就证券提供意见 | - | 2004-02-11 | |
| Rep | 提供自动化交易服务 | - | 2004-09-20 | |
| Rep | 证券交易 | - | 2005-05-25 | |
| Morgan Stanley Hong Kong Futures Limited | Rep | 提供自动化交易服务 | - | 2004-09-20 |
| Rep | 期货合约交易 | - | 2004-09-20 |