| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| BARCLAYS CAPITAL ASIA LIMITED | RO | 就证券提供意见 | 2011-05-17 | 2013-07-14 |
| Rep | 就证券提供意见 | 2011-05-03 | 2011-05-17 | |
| Citigroup Global Markets Asia Limited | Rep | 就机构融资提供意见 | 2010-09-09 | 2011-02-21 |
| Rep | 证券交易 | 2010-09-09 | 2011-02-21 | |
| CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | 证券交易 | 2010-09-09 | 2011-02-21 |
| Citigroup Global Markets Asia Limited | RO | 就证券提供意见 | 2009-10-15 | 2011-02-21 |
| Rep | 就证券提供意见 | 2005-01-12 | 2009-10-15 |