| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Morgan Stanley Asia Limited | Rep | 證券交易 | 2015-07-15 | 2017-03-28 |
| Morgan Stanley Hong Kong Securities Limited | Rep | 期貨合約交易 | 2015-07-15 | 2017-03-28 |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 提供資產管理 | 2013-11-27 | 2014-10-08 |
| Rep | 證券交易 | 2007-06-18 | 2014-10-08 | |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2007-06-18 | 2014-10-08 |