| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| CLSA LIMITED | Rep | 证券交易 | 2014-04-07 | 2014-09-05 |
| NOMURA SECURITIES (HONG KONG) LIMITED | Rep | 期货合约交易 | 2010-02-03 | 2013-04-02 |
| Nomura Asia Investment (Hong Kong) Limited | Rep | 期货合约交易 | 2009-09-30 | 2010-02-19 |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 期货合约交易 | 2009-09-30 | 2013-04-02 |
| Rep | 证券交易 | 2008-10-10 | 2013-04-02 | |
| LEHMAN BROTHERS ASIA LIMITED | Rep | 证券交易 | 2007-08-14 | 2008-09-29 |