| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | 就证券提供意见 | 2014-08-25 | 2015-11-23 |
| Rep | 证券交易 | 2014-08-25 | 2015-11-23 | |
| Rep | 就期货合约提供意见 | 2014-08-25 | 2019-03-31 | |
| Rep | 期货合约交易 | 2014-08-25 | 2019-03-31 | |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 证券交易 | 2008-05-08 | 2014-05-27 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期货合约交易 | 2008-05-08 | 2014-05-27 |
| Citadel Asia Limited | Rep | 提供资产管理 | 2006-09-15 | 2008-03-28 |