| 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 | 2011-12-07 | 2013-11-09 |
| Rep | 證券交易 | 2010-12-01 | 2013-11-09 | |
| CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | 證券交易 | 2003-10-15 | 2010-11-02 |
| Rep | 期貨合約交易 | 2003-06-18 | 2010-11-02 | |
| Citigroup Global Markets Asia Limited | Rep | 就機構融資提供意見 | - | 2003-06-02 |
| Rep | 就證券提供意見 | - | 2003-06-02 | |
| Rep | 提供資產管理 | - | 2003-06-02 | |
| Rep | 提供自動化交易服務 | - | 2003-06-02 | |
| Rep | 證券交易 | - | 2010-11-02 |