| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| NH INVESTMENT & SECURITIES (H.K.) LIMITED | Rep | 就证券提供意见 | 2016-07-22 | 2023-06-30 |
| Rep | 证券交易 | 2016-07-22 | 2023-06-30 | |
| Standard Chartered Securities (Hong Kong) Limited | Rep | 就期货合约提供意见 | 2013-11-06 | 2015-10-27 |
| Rep | 期货合约交易 | 2013-11-06 | 2015-10-27 | |
| BARCLAYS CAPITAL ASIA LIMITED | Rep | 证券交易 | 2008-11-20 | 2013-02-20 |
| Rep | 期货合约交易 | 2008-10-27 | 2013-02-20 | |
| UBS DERIVATIVES HONG KONG LIMITED | Rep | 期货合约交易 | 2007-01-25 | 2008-05-07 |
| UBS SECURITIES ASIA LIMITED | Rep | 期货合约交易 | 2007-01-25 | 2008-05-07 |
| RBS Asia Futures Limited | Rep | 期货合约交易 | 2006-09-12 | 2006-09-30 |