| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| MUFG Securities Asia Limited | RO | 就证券提供意见 | 2019-03-21 | 2019-12-20 |
| RO | 期货合约交易 | 2019-03-21 | 2019-12-20 | |
| RO | 证券交易 | 2019-03-21 | 2019-12-20 | |
| Rep | 就证券提供意见 | 2018-08-02 | 2019-03-21 | |
| Rep | 期货合约交易 | 2018-08-02 | 2019-03-21 | |
| Rep | 证券交易 | 2018-08-02 | 2019-03-21 | |
| Merrill Lynch (Asia Pacific) Limited | RO | 证券交易 | 2005-10-07 | 2006-04-01 |
| Rep | 就证券提供意见 | 2005-10-04 | 2006-04-01 | |
| Rep | 提供资产管理 | - | 2005-01-25 | |
| Rep | 就机构融资提供意见 | - | 2005-03-23 | |
| Rep | 就证券提供意见 | - | 2005-03-23 | |
| Rep | 提供自动化交易服务 | - | 2005-03-23 | |
| Rep | 证券交易 | - | 2005-10-07 |