| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| Standard Chartered Securities (Hong Kong) Limited | Rep | 就机构融资提供意见 | 2013-08-12 | 2014-11-01 |
| Rep | 就证券提供意见 | 2010-07-22 | 2014-11-01 | |
| Rep | 证券交易 | 2010-07-22 | 2014-11-01 | |
| DEUTSCHE SECURITIES ASIA LIMITED | RO | 提供自动化交易服务 | 2010-04-16 | 2010-05-21 |
| RO | 就证券提供意见 | 2009-08-17 | 2010-05-21 | |
| RO | 证券交易 | 2009-08-17 | 2010-05-21 | |
| Rep | 证券交易 | 2007-08-15 | 2009-08-17 | |
| Morgan Stanley Asia Limited | Rep | 提供自动化交易服务 | 2004-08-23 | 2006-06-06 |
| Rep | 证券交易 | 2004-08-23 | 2006-06-06 | |
| Morgan Stanley Hong Kong Futures Limited | Rep | 提供自动化交易服务 | 2004-08-23 | 2006-06-06 |
| Rep | 期货合约交易 | 2004-08-23 | 2006-06-06 |