| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| RC Futures Advisory Limited | RO | 就證券提供意見 | 2019-11-01 | 2022-12-31 |
| KGI ASIA LIMITED | Rep | 證券交易 | 2017-10-03 | 2019-10-24 |
| Rep | 證券交易 | 2015-04-29 | 2017-10-02 | |
| HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED | Rep | 就證券提供意見 | 2009-08-24 | 2010-10-04 |
| HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED | Rep | 就證券提供意見 | 2009-08-24 | 2010-10-04 |
| Rep | 證券交易 | 2009-08-24 | 2010-10-04 | |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2009-08-24 | 2010-10-04 |