| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CHG SECURITIES LIMITED | Rep | 證券交易 | 2009-02-20 | 2014-08-25 |
| WINTONE SECURITIES LIMITED | Rep | 證券交易 | 2008-03-17 | 2008-09-17 |
| Success Futures and Foreign Exchange Limited | Rep | 槓桿式外匯交易 | 2006-12-14 | 2007-09-03 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 槓桿式外匯交易 | 2005-10-26 | 2006-11-21 |