| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | 就证券提供意见 | 2016-06-06 | - |
| Rep | 证券交易 | 2016-06-06 | - | |
| Jefferies Hong Kong Limited | Rep | 证券交易 | 2015-05-05 | 2015-12-16 |
| Merrill Lynch Far East Limited | Rep | 期货合约交易 | 2010-08-20 | 2014-11-04 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 证券交易 | 2010-06-08 | 2014-11-04 |
| Merrill Lynch Far East Limited | Rep | 证券交易 | 2010-06-08 | 2014-11-04 |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | 期货合约交易 | 2010-06-08 | 2010-08-20 |
| UOB KAY HIAN (HONG KONG) LIMITED | Rep | 证券交易 | 2009-11-09 | 2010-05-28 |