| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| Sanford C. Bernstein (Hong Kong) Limited | Rep | 就证券提供意见 | 2016-04-05 | 2016-09-01 |
| Rep | 证券交易 | 2016-04-05 | 2016-09-01 | |
| Yunfeng Financial Markets Limited | RO | 证券交易 | 2014-03-06 | 2016-02-02 |
| Rep | 证券交易 | 2012-12-05 | 2014-03-06 | |
| Jefferies Hong Kong Limited | Rep | 证券交易 | 2010-11-16 | 2012-11-14 |
| HSBC SECURITIES BROKERS (ASIA) LIMITED | Rep | 证券交易 | 2009-04-30 | 2010-08-06 |