| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| UBS SECURITIES ASIA LIMITED | Rep | 期货合约交易 | 2008-06-10 | 2010-03-31 |
| Rep | 证券交易 | 2006-10-09 | 2010-03-31 | |
| Standard Chartered Securities (Hong Kong) Limited | Rep | 证券交易 | 2005-03-17 | 2006-09-09 |
| Rep | 就证券提供意见 | 2005-03-15 | 2006-09-09 | |
| BEAR STEARNS ASIA LIMITED | Rep | 就机构融资提供意见 | - | 2004-12-13 |
| Rep | 提供资产管理 | - | 2004-12-13 | |
| Rep | 提供自动化交易服务 | - | 2004-12-13 | |
| Rep | 证券交易 | - | 2004-12-13 | |
| Rep | 就证券提供意见 | - | 2005-02-05 |