| 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 | 2016-12-02 | 2023-10-06 |
| RO | 证券交易 | 2016-12-02 | 2023-10-06 | |
| Rep | 期货合约交易 | 2010-04-29 | 2016-12-02 | |
| Rep | 证券交易 | 2010-04-29 | 2016-12-02 | |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | 期货合约交易 | 2008-05-16 | 2009-02-27 |
| Merrill Lynch (Asia Pacific) Limited | RO | 证券交易 | 2005-05-27 | 2009-02-27 |
| Merrill Lynch Far East Limited | RO | 证券交易 | 2005-05-27 | 2009-02-27 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 证券交易 | 2003-10-23 | 2005-05-27 |