| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| HALCYON SECURITIES LIMITED | Rep | 證券交易 | 2013-07-15 | 2014-10-03 |
| T.F.S. Derivatives HK Limited | Rep | 證券交易 | 2012-06-29 | 2012-09-25 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2005-10-31 | 2007-08-04 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2005-10-31 | 2007-08-04 |
| KARL THOMSON INVESTMENT CONSULTANTS LIMITED | Rep | 就證券提供意見 | 2005-05-18 | 2005-10-07 |