| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SINOPAC FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2011-01-28 | 2013-02-28 |
| SINOPAC SECURITIES (ASIA) LIMITED | Rep | 就證券提供意見 | 2009-09-30 | 2013-02-28 |
| Rep | 證券交易 | 2009-09-30 | 2013-02-28 | |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2008-10-09 | 2008-12-11 |
| Rep | 證券交易 | 2008-10-09 | 2008-12-11 | |
| LEHMAN BROTHERS ASIA LIMITED | Rep | 期貨合約交易 | 2008-02-14 | 2008-09-29 |
| Rep | 證券交易 | 2008-02-14 | 2008-09-29 | |
| LEHMAN BROTHERS SECURITIES ASIA LIMITED | Rep | 證券交易 | 2008-02-14 | 2008-09-29 |