| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| DEUTSCHE SECURITIES ASIA LIMITED | Rep | 就机构融资提供意见 | 2014-09-01 | 2015-12-19 |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 就机构融资提供意见 | 2011-07-25 | 2014-08-01 |
| Rep | 证券交易 | 2011-07-25 | 2014-08-01 | |
| BOCI ASIA LIMITED | Rep | 就机构融资提供意见 | 2011-02-14 | 2011-04-15 |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | 期货合约交易 | 2009-03-12 | 2009-08-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 证券交易 | 2008-12-22 | 2009-08-01 |
| BLACKROCK (HONG KONG) LIMITED | Rep | 就证券提供意见 | 2006-12-19 | 2008-11-18 |
| Rep | 提供资产管理 | 2006-12-19 | 2008-11-18 | |
| Rep | 证券交易 | 2006-12-19 | 2008-11-18 |