| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| PIPER JAFFRAY ASIA SECURITIES LIMITED | Rep | 就證券提供意見 | 2010-10-15 | 2012-08-25 |
| LEHMAN BROTHERS ASIA LIMITED | Rep | 期貨合約交易 | 2007-06-20 | 2008-05-22 |
| Rep | 證券交易 | 2007-06-20 | 2008-05-22 | |
| LEHMAN BROTHERS SECURITIES ASIA LIMITED | Rep | 證券交易 | 2007-06-20 | 2008-05-22 |