| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 期货合约交易 | 2014-05-02 | 2015-07-24 |
| Rep | 证券交易 | 2014-05-02 | 2015-07-24 | |
| FIRST SECURITIES (HK) LIMITED | Rep | 证券交易 | 2011-12-16 | 2012-07-24 |
| DEUTSCHE SECURITIES ASIA LIMITED | Rep | 期货合约交易 | 2006-07-10 | 2011-06-24 |
| Rep | 证券交易 | 2006-07-10 | 2011-06-24 | |
| Credit Suisse Futures (Hong Kong) Limited | Rep | 提供自动化交易服务 | 2006-03-21 | 2006-07-01 |
| Rep | 期货合约交易 | 2006-03-21 | 2006-07-01 | |
| Credit Suisse (Hong Kong) Limited | Rep | 就机构融资提供意见 | 2004-05-27 | 2006-03-20 |
| Rep | 就证券提供意见 | 2004-05-27 | 2006-03-20 | |
| Rep | 证券交易 | 2004-05-27 | 2006-07-01 |