| 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 | 2023-10-30 | 2023-11-22 |
| Rep | 证券交易 | 2023-10-13 | 2023-11-22 | |
| Credit Suisse (Hong Kong) Limited | Rep | 证券交易 | 2007-04-16 | 2023-08-18 |
| Credit Suisse Securities (Hong Kong) Limited | Rep | 证券交易 | 2007-04-16 | 2013-10-30 |
| Merrill Lynch Far East Limited | Rep | 证券交易 | 2005-05-19 | 2007-03-03 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 提供资产管理 | - | 2005-01-25 |
| Rep | 就机构融资提供意见 | - | 2005-03-23 | |
| Rep | 就证券提供意见 | - | 2005-03-23 | |
| Rep | 提供自动化交易服务 | - | 2005-03-23 | |
| Rep | 证券交易 | - | 2007-03-03 |