| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Leonteq Securities (Hong Kong) Limited | Rep | 就證券提供意見 | 2012-08-03 | 2013-04-20 |
| Rep | 證券交易 | 2012-08-03 | 2013-04-20 | |
| J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2007-10-12 | 2008-11-05 |
| Rep | 證券交易 | 2007-09-24 | 2008-11-05 | |
| Morgan Stanley Asia Limited | Rep | 提供自動化交易服務 | 2005-10-13 | 2007-06-11 |
| Rep | 證券交易 | 2005-10-13 | 2007-06-11 | |
| Morgan Stanley Hong Kong Futures Limited | Rep | 提供自動化交易服務 | 2005-10-13 | 2007-06-11 |
| Rep | 期貨合約交易 | 2005-10-13 | 2007-06-11 |