| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CES Commodities (HK) Limited | Rep | 期貨合約交易 | 2018-09-12 | 2019-01-11 |
| Everbright Securities Investment Services (HK) Limited | Rep | 就證券提供意見 | 2018-09-12 | 2019-01-11 |
| Rep | 證券交易 | 2018-09-12 | 2019-01-11 | |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2010-07-30 | 2010-09-13 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 槓桿式外匯交易 | 2010-07-30 | 2010-09-13 |
| Rep | 證券交易 | 2010-05-19 | 2010-09-13 | |
| Success Securities Limited | Rep | 證券交易 | 2009-11-05 | 2010-05-16 |