| 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 | 2011-04-04 | 2012-05-11 |
| Merrill Lynch Far East Limited | Rep | 期貨合約交易 | 2011-04-04 | 2012-05-11 |
| Rep | 證券交易 | 2011-04-04 | 2012-05-11 | |
| SPARX Asia Investment Advisors Limited | Rep | 就證券提供意見 | 2007-08-07 | 2008-02-28 |
| Rep | 提供資產管理 | 2007-08-07 | 2008-02-28 |