| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| CHARLES SCHWAB, HONG KONG, LIMITED | Rep | 就证券提供意见 | 2014-10-06 | - |
| Rep | 证券交易 | 2014-10-06 | - | |
| Rep | 就期货合约提供意见 | 2014-10-06 | 2016-08-24 | |
| Merrill Lynch (Asia Pacific) Limited | Rep | 就证券提供意见 | 2011-10-31 | 2014-02-15 |
| Merrill Lynch Far East Limited | Rep | 期货合约交易 | 2011-01-31 | 2014-02-15 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 证券交易 | 2007-09-27 | 2014-02-15 |