| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SUPREME CHINA SECURITIES LIMITED | Rep | 證券交易 | 2015-09-23 | 2016-05-31 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2010-01-29 | 2010-03-30 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2009-05-05 | 2010-03-30 |
| Rep | 槓桿式外匯交易 | 2009-05-05 | 2010-03-30 | |
| CINDA INTERNATIONAL INVESTMENT MANAGEMENT LIMITED | Rep | 槓桿式外匯交易 | 2004-09-23 | 2005-07-22 |
| CINDA INTERNATIONAL INVESTMENT CONSULTANT LIMITED | Rep | 就證券提供意見 | 2004-05-25 | 2005-07-22 |
| CINDA INTERNATIONAL SECURITIES LIMITED | Rep | 證券交易 | 2004-05-25 | 2005-07-22 |