| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | 證券交易 | 2011-03-11 | 2013-11-09 |
| Merrill Lynch Far East Limited | Rep | 期貨合約交易 | 2011-03-11 | 2013-11-09 |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 就機構融資提供意見 | - | 2004-10-12 |
| Rep | 就證券提供意見 | - | 2004-10-12 | |
| Rep | 提供資產管理 | - | 2004-10-12 | |
| Rep | 就期貨合約提供意見 | - | 2010-08-31 | |
| Rep | 證券交易 | - | 2010-08-31 |