| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| Oppenheimer Investments Asia Limited | RO | 就证券提供意见 | 2013-08-12 | - |
| RO | 证券交易 | 2013-08-12 | - | |
| Rep | 就证券提供意见 | 2013-05-30 | 2013-08-12 | |
| Rep | 证券交易 | 2013-05-30 | 2013-08-12 | |
| Knight Capital Asia Limited | RO | 就证券提供意见 | 2009-07-22 | 2011-08-12 |
| RO | 证券交易 | 2009-07-22 | 2013-04-05 | |
| Knight Libertas (Asia) Limited | RO | 就证券提供意见 | 2008-01-23 | 2010-01-14 |
| RO | 证券交易 | 2008-01-23 | 2010-01-14 | |
| DEBTTRADERS, LIMITED - IN LIQUIDATION | Rep | 证券交易 | 2004-03-08 | 2004-09-16 |
| Rep | 就机构融资提供意见 | 2003-04-01 | 2003-12-27 | |
| Rep | 就证券提供意见 | 2003-04-01 | 2003-12-27 | |
| Rep | 提供资产管理 | 2003-04-01 | 2003-12-27 | |
| Rep | 证券交易 | 2003-04-01 | 2003-12-27 |