| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED | RO | 就证券提供意见 | 2016-05-16 | 2016-06-02 |
| Rep | 就证券提供意见 | 2014-09-18 | 2016-05-16 | |
| Jefferies Hong Kong Limited | Rep | 证券交易 | 2011-05-25 | 2012-08-14 |
| Arete Research Asia Limited | RO | 就证券提供意见 | 2010-01-11 | 2010-05-09 |
| Morgan Stanley Asia Limited | Rep | 提供自动化交易服务 | 2004-09-16 | 2008-11-20 |
| Rep | 证券交易 | 2004-09-16 | 2008-11-20 | |
| Morgan Stanley Hong Kong Futures Limited | Rep | 提供自动化交易服务 | 2004-09-16 | 2008-11-20 |
| Rep | 期货合约交易 | 2004-09-16 | 2008-11-20 |