| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 证券交易 | 2015-09-17 | - |
| Merrill Lynch Far East Limited | Rep | 期货合约交易 | 2010-08-26 | 2015-03-24 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 证券交易 | 2009-06-23 | 2015-03-24 |
| Merrill Lynch Far East Limited | Rep | 证券交易 | 2009-06-23 | 2015-03-24 |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | 期货合约交易 | 2009-06-23 | 2010-08-26 |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 就机构融资提供意见 | 2003-04-01 | 2004-11-23 |
| Rep | 提供资产管理 | 2003-04-01 | 2004-11-23 | |
| Rep | 证券交易 | 2003-04-01 | 2004-11-23 | |
| Rep | 就证券提供意见 | 2003-04-01 | 2006-10-31 |