| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| TJ Investment Management (HK) Limited | RO | 就證券提供意見 | 2018-05-14 | 2023-04-28 |
| RO | 提供資產管理 | 2018-05-14 | 2023-04-28 | |
| Merrill Lynch (Asia Pacific) Limited | Rep | 證券交易 | 2008-08-18 | 2010-05-11 |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2008-08-18 | 2010-05-11 |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 證券交易 | 2006-07-11 | 2008-06-21 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2006-07-11 | 2008-06-21 |