| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| OnePlatform Asset Management Limited | Rep | 就證券提供意見 | 2006-07-27 | 2008-02-11 |
| SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED | Rep | 就證券提供意見 | 2005-06-29 | 2006-01-16 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 期貨合約交易 | 2005-06-29 | 2006-01-16 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 槓桿式外匯交易 | 2003-11-26 | 2003-12-22 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2003-11-04 | 2003-12-22 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2003-11-04 | 2003-12-22 |