| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| Oppenheimer Investments Asia Limited | RO | 证券交易 | 2013-09-16 | 2014-01-24 |
| Rep | 就证券提供意见 | 2013-05-02 | 2014-01-24 | |
| Rep | 证券交易 | 2012-12-10 | 2013-09-16 | |
| Merrill Lynch Far East Limited | Rep | 期货合约交易 | 2010-08-20 | 2011-10-04 |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | 期货合约交易 | 2007-10-08 | 2010-08-20 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 证券交易 | 2006-06-16 | 2011-10-04 |