| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| Vantage Capital Markets HK Limited | Rep | 期货合约交易 | 2009-05-25 | 2011-01-05 |
| Rep | 证券交易 | 2009-01-09 | 2011-01-05 | |
| TP ICAP MARKETS (HONG KONG) LIMITED | Rep | 证券交易 | 2006-06-05 | 2008-10-23 |
| MACQUARIE EQUITIES (ASIA) LIMITED | Rep | 就机构融资提供意见 | - | 2004-01-27 |
| Rep | 就证券提供意见 | - | 2004-01-27 | |
| Rep | 提供资产管理 | - | 2004-01-27 | |
| Rep | 证券交易 | - | 2005-11-30 |