| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED | Rep | 期货合约交易 | 2007-05-08 | 2011-02-24 |
| Rep | 证券交易 | 2007-05-08 | 2011-02-24 | |
| LEHMAN BROTHERS ASIA LIMITED | Rep | 期货合约交易 | 2005-07-22 | 2007-03-26 |
| Rep | 证券交易 | 2005-07-20 | 2007-03-26 | |
| INSTINET PACIFIC LIMITED | Rep | 就证券提供意见 | 2004-04-02 | 2005-07-13 |
| Rep | 提供自动化交易服务 | 2004-04-02 | 2005-07-13 | |
| Rep | 证券交易 | 2004-04-02 | 2005-07-13 | |
| BLOOMBERG TRADEBOOK HONG KONG LIMITED | RO | 就机构融资提供意见 | - | 2003-05-23 |
| RO | 就证券提供意见 | - | 2003-05-23 | |
| RO | 提供资产管理 | - | 2003-05-23 | |
| RO | 证券交易 | - | 2003-05-23 |