| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | 就證券提供意見 | 2011-10-24 | 2012-03-01 |
| Merrill Lynch Far East Limited | Rep | 期貨合約交易 | 2010-09-03 | 2012-03-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 證券交易 | 2010-08-02 | 2012-03-01 |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2010-08-02 | 2010-09-03 |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 證券交易 | 2006-12-15 | 2009-10-10 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2006-12-15 | 2009-10-10 |