| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| BARCLAYS CAPITAL ASIA LIMITED | Rep | 期貨合約交易 | 2009-12-01 | 2016-11-30 |
| Rep | 證券交易 | 2009-12-01 | 2016-11-30 | |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2008-11-17 | 2009-10-10 |
| Rep | 證券交易 | 2008-11-17 | 2009-10-10 | |
| LEHMAN BROTHERS ASIA LIMITED | Rep | 期貨合約交易 | 2008-08-04 | 2008-09-29 |
| Rep | 證券交易 | 2008-08-04 | 2008-09-29 |