| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2021-06-22 | - |
| Rep | 證券交易 | 2021-06-22 | - | |
| CMB International Securities Limited | Rep | 就證券提供意見 | 2020-11-04 | 2021-06-04 |
| CMB INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2020-10-21 | 2021-06-04 |
| CMB International Securities Limited | Rep | 證券交易 | 2020-10-21 | 2021-06-04 |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | 期貨合約交易 | 2019-02-11 | 2020-09-18 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2019-02-11 | 2020-09-18 |
| XinKong International Securities Limited | Rep | 證券交易 | 2017-10-18 | 2019-01-02 |