| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| DELTA ASIA FINANCIAL FUTURES LIMITED | Rep | 期貨合約交易 | 2014-03-07 | 2014-04-11 |
| DELTA ASIA SECURITIES LIMITED | Rep | 就證券提供意見 | 2014-01-15 | 2014-04-11 |
| Rep | 證券交易 | 2014-01-15 | 2014-04-11 | |
| Delta Asia Wealth Management Limited | Rep | 提供資產管理 | 2014-01-15 | 2014-04-11 |
| CHINA SHENGHAI INVESTMENT MANAGEMENT LIMITED | Rep | 就證券提供意見 | 2013-02-19 | 2013-10-01 |
| Rep | 提供資產管理 | 2013-02-19 | 2013-10-01 | |
| Rep | 證券交易 | 2013-02-19 | 2013-10-01 |