| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | 期貨合約交易 | 2018-10-19 | - |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 證券交易 | 2018-09-27 | - |
| NATIXIS ASIA LIMITED | Rep | 就證券提供意見 | 2016-08-25 | 2018-06-29 |
| Rep | 證券交易 | 2016-08-25 | 2018-06-29 | |
| Citigroup Global Markets Asia Limited | Rep | 就機構融資提供意見 | 2010-05-13 | 2016-01-15 |
| Rep | 證券交易 | 2010-05-13 | 2016-01-15 | |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2008-10-10 | 2009-03-14 |
| Rep | 證券交易 | 2008-10-10 | 2009-03-14 | |
| LEHMAN BROTHERS ASIA LIMITED | Rep | 就證券提供意見 | 2008-04-14 | 2008-09-29 |
| Rep | 證券交易 | 2008-04-14 | 2008-09-29 |