| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| NOMURA SECURITIES (HONG KONG) LIMITED | Rep | 期货合约交易 | 2010-02-04 | 2010-05-21 |
| Nomura Asia Investment (Hong Kong) Limited | Rep | 期货合约交易 | 2009-11-16 | 2010-02-19 |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 期货合约交易 | 2009-11-16 | 2010-05-21 |
| Rep | 证券交易 | 2009-11-16 | 2010-05-21 | |
| NOMURA SECURITIES (HONG KONG) LIMITED | Rep | 证券交易 | 2009-11-16 | 2010-05-21 |
| DEEPHAVEN ASIA LIMITED | RO | 就证券提供意见 | 2005-06-14 | 2006-03-22 |
| RO | 提供资产管理 | 2005-06-14 | 2006-03-22 | |
| CLSA FUTURES LIMITED | Rep | 期货合约交易 | 2003-12-09 | 2005-03-09 |
| CLSA LIMITED | Rep | 证券交易 | 2003-12-09 | 2005-03-09 |