| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Merrill Lynch Far East Limited | Rep | 期貨合約交易 | 2010-09-02 | 2012-04-12 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 證券交易 | 2010-01-08 | 2012-04-12 |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2010-01-08 | 2010-09-02 |
| GOLDMAN SACHS (ASIA) L.L.C. | RO | 證券交易 | 2008-12-08 | 2009-09-23 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | RO | 期貨合約交易 | 2008-12-08 | 2009-09-23 |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 證券交易 | 2008-01-21 | 2008-12-08 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2008-01-21 | 2008-12-08 |