| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| UPBEST SECURITIES COMPANY LIMITED | Rep | 就证券提供意见 | 2009-12-10 | 2010-03-26 |
| Rep | 提供资产管理 | 2009-12-10 | 2010-03-26 | |
| CROSBY WEALTH MANAGEMENT (HONG KONG) LIMITED | Rep | 就证券提供意见 | 2006-06-28 | 2009-11-21 |
| Rep | 提供资产管理 | 2006-06-28 | 2009-11-21 | |
| Morgan Stanley Asia Limited | 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 | - | 2004-02-11 | |
| Rep | 证券交易 | - | 2006-05-06 | |
| Morgan Stanley Hong Kong Futures Limited | Rep | 提供自动化交易服务 | - | 2004-02-11 |
| Rep | 期货合约交易 | - | 2006-05-06 |