| 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 | 2012-10-26 | 2013-11-06 |
| Rep | 证券交易 | 2012-10-26 | 2013-11-06 | |
| Julius Baer (Hong Kong) Limited | Rep | 就证券提供意见 | 2007-09-19 | 2011-06-13 |
| Rep | 证券交易 | 2007-09-19 | 2011-06-13 | |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 证券交易 | 2004-03-18 | 2006-05-05 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期货合约交易 | 2004-03-18 | 2006-05-05 |