| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| LEHMAN BROTHERS ASIA LIMITED | Rep | 期貨合約交易 | 2008-08-20 | 2008-09-10 |
| Rep | 證券交易 | 2008-08-20 | 2008-09-10 | |
| Newedge Broker Limited | Rep | 證券交易 | 2003-05-23 | 2004-08-18 |
| Rep | 就期貨合約提供意見 | - | 2003-05-20 | |
| Rep | 提供資產管理 | - | 2003-05-20 | |
| Rep | 提供自動化交易服務 | - | 2004-08-18 | |
| Rep | 期貨合約交易 | - | 2004-08-18 |