| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| Sanford C. Bernstein (Hong Kong) Limited | Rep | 就证券提供意见 | 2013-05-13 | 2018-10-05 |
| Rep | 证券交易 | 2013-05-13 | 2018-10-05 | |
| J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | 就期货合约提供意见 | 2010-07-05 | 2013-02-01 |
| Rep | 就证券提供意见 | 2010-07-05 | 2013-02-01 | |
| Rep | 期货合约交易 | 2010-07-05 | 2013-02-01 | |
| Rep | 证券交易 | 2010-07-05 | 2013-02-01 | |
| HSBC SECURITIES (ASIA) LIMITED | RO | 证券交易 | 2009-02-16 | 2010-04-29 |
| HSBC SECURITIES BROKERS (ASIA) LIMITED | RO | 证券交易 | 2009-02-16 | 2010-04-29 |
| Rep | 证券交易 | 2006-08-18 | 2009-02-16 |