| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| LA ROCHE & CO ASIA LIMITED | Rep | 就证券提供意见 | 2010-06-21 | 2011-09-01 |
| Rep | 证券交易 | 2010-06-21 | 2011-09-01 | |
| NOMURA SECURITIES (HONG KONG) LIMITED | Rep | 期货合约交易 | 2010-02-03 | 2010-02-27 |
| Nomura Asia Investment (Hong Kong) Limited | Rep | 期货合约交易 | 2008-11-27 | 2010-02-19 |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 期货合约交易 | 2008-11-27 | 2010-02-27 |
| Rep | 证券交易 | 2008-11-27 | 2010-02-27 | |
| Merrill Lynch (Asia Pacific) Limited | Rep | 证券交易 | 2007-04-17 | 2008-11-08 |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | 期货合约交易 | 2007-04-17 | 2008-11-08 |