| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 證券交易 | 2014-05-13 | 2016-01-28 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2014-05-13 | 2016-01-28 |
| Morgan Stanley Hong Kong Securities Limited | Rep | 期貨合約交易 | 2012-01-06 | 2014-03-04 |
| Morgan Stanley Asia Limited | Rep | 就機構融資提供意見 | 2010-01-15 | 2011-07-18 |
| Rep | 證券交易 | 2010-01-15 | 2014-03-04 |