| 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 | 2012-09-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 證券交易 | 2009-11-02 | 2012-09-01 |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2009-11-02 | 2010-09-02 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2008-07-25 | 2009-09-01 |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 證券交易 | 2006-07-24 | 2009-09-01 |
| Rep | 就證券提供意見 | 2004-07-23 | 2006-06-29 | |
| Rep | 證券交易 | 2004-07-23 | 2006-06-29 |