| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| Samena Capital Hong Kong Limited | RO | 就证券提供意见 | 2018-05-31 | 2018-11-05 |
| RO | 提供资产管理 | 2018-05-31 | 2021-02-28 | |
| Rep | 就证券提供意见 | 2017-09-19 | 2018-05-31 | |
| Rep | 提供资产管理 | 2017-09-19 | 2018-05-31 | |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 证券交易 | 2008-09-08 | 2016-02-27 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期货合约交易 | 2008-09-08 | 2016-02-27 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 证券交易 | 2007-06-04 | 2008-06-24 |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | 期货合约交易 | 2007-06-04 | 2008-06-24 |
| D. B. ZWIRN ASIA PARTNERS LIMITED | Rep | 就证券提供意见 | 2006-09-07 | 2007-04-23 |
| Rep | 证券交易 | 2006-09-07 | 2007-04-23 |