| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 提供资产管理 | 2011-06-08 | 2012-03-30 |
| Rep | 证券交易 | 2010-12-07 | 2012-03-30 | |
| CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED | Rep | 杠杆式外汇交易 | 2009-01-20 | 2010-09-08 |
| Rakuten Securities Hong Kong Limited | Rep | 杠杆式外汇交易 | 2004-12-29 | 2007-03-28 |