| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2007-10-22 | 2008-05-16 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2007-01-18 | 2007-03-31 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2007-01-18 | 2007-03-31 |
| CES Commodities (HK) Limited | Rep | 期貨合約交易 | 2006-03-17 | 2006-12-02 |
| Everbright Securities Investment Services (HK) Limited | Rep | 證券交易 | 2006-03-17 | 2006-12-02 |