| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| Daiwa Capital Markets Hong Kong Limited | Rep | 就证券提供意见 | 2008-12-29 | 2012-08-30 |
| Rep | 期货合约交易 | 2008-11-11 | 2012-08-30 | |
| Rep | 证券交易 | 2008-11-11 | 2012-08-30 | |
| LEHMAN BROTHERS FUTURES ASIA LIMITED | Rep | 期货合约交易 | 2006-09-26 | 2008-09-29 |
| LEHMAN BROTHERS ASIA LIMITED | RO | 提供自动化交易服务 | - | 2003-09-01 |
| RO | 证券交易 | - | 2008-09-29 | |
| LEHMAN BROTHERS SECURITIES ASIA LIMITED | RO | 提供自动化交易服务 | - | 2003-09-01 |
| RO | 证券交易 | - | 2008-09-29 |