| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| MACQUARIE CAPITAL LIMITED | Rep | 就證券提供意見 | 2009-11-11 | 2011-05-10 |
| FOX-PITT, KELTON (ASIA) LIMITED | Rep | 就證券提供意見 | 2009-02-24 | 2009-10-16 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 證券交易 | 2007-09-14 | 2009-02-21 |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2007-09-14 | 2009-02-21 |