| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| BARING ASSET MANAGEMENT (ASIA) LIMITED | RO | 就期貨合約提供意見 | 2016-01-22 | - |
| RO | 就證券提供意見 | 2016-01-22 | - | |
| RO | 期貨合約交易 | 2015-09-07 | - | |
| RO | 證券交易 | 2015-09-07 | - | |
| Rep | 就證券提供意見 | 2014-10-13 | 2016-01-22 | |
| Rep | 就期貨合約提供意見 | 2008-12-22 | 2016-01-22 | |
| Rep | 證券交易 | 2007-10-18 | 2015-09-07 | |
| Rep | 提供資產管理 | 2007-09-10 | - | |
| PineBridge Investments Asia Limited | Rep | 就機構融資提供意見 | 2003-04-01 | 2005-03-15 |
| Rep | 就證券提供意見 | 2003-04-01 | 2005-03-31 | |
| Rep | 提供資產管理 | 2003-04-01 | 2007-09-01 |