| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Soochow Securities International Brokerage Limited | Rep | 就證券提供意見 | 2014-09-26 | 2015-09-30 |
| Rep | 證券交易 | 2014-08-18 | 2015-09-30 | |
| Soochow Securities International Futures Limited | Rep | 期貨合約交易 | 2014-08-18 | 2015-09-30 |
| Funderstone Futures Limited | Rep | 期貨合約交易 | 2013-03-08 | 2013-08-31 |
| Funderstone Securities Limited | Rep | 證券交易 | 2012-04-17 | 2013-08-31 |