| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | 证券交易 | 2011-03-11 | 2013-11-09 |
| Merrill Lynch Far East Limited | Rep | 期货合约交易 | 2011-03-11 | 2013-11-09 |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 就机构融资提供意见 | - | 2004-10-12 |
| Rep | 就证券提供意见 | - | 2004-10-12 | |
| Rep | 提供资产管理 | - | 2004-10-12 | |
| Rep | 就期货合约提供意见 | - | 2010-08-31 | |
| Rep | 证券交易 | - | 2010-08-31 |