| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| LOMBARD ODIER (HONG KONG) LIMITED | Rep | 就证券提供意见 | 2011-03-01 | 2011-03-15 |
| Rep | 证券交易 | 2011-03-01 | 2011-03-15 | |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 证券交易 | 2004-05-24 | 2008-02-28 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期货合约交易 | 2004-05-24 | 2008-02-28 |
| JEFFERIES BACHE (HONG KONG) LIMITED | Rep | 期货合约交易 | 2003-12-05 | 2004-05-21 |
| FT Securities Limited | Rep | 就机构融资提供意见 | - | 2003-10-15 |
| Rep | 提供资产管理 | - | 2003-10-15 | |
| Rep | 就证券提供意见 | - | 2004-04-27 | |
| Rep | 证券交易 | - | 2004-05-21 |