| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED | Rep | 就機構融資提供意見 | 2022-01-27 | - |
| Rep | 就證券提供意見 | 2022-01-27 | - | |
| Rep | 證券交易 | 2021-11-24 | - | |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2021-11-24 | - |
| HUAJIN FUTURES (INTERNATIONAL) LIMITED | Rep | 期貨合約交易 | 2020-11-11 | 2021-11-05 |
| HUAJIN SECURITIES (INTERNATIONAL) LIMITED | Rep | 證券交易 | 2020-07-14 | 2021-11-05 |
| Grit Securities Limited | Rep | 證券交易 | 2019-06-24 | 2020-07-10 |
| JOINCAP CAPITAL LIMITED | Rep | 就證券提供意見 | 2019-06-24 | 2020-07-10 |
| Rep | 提供資產管理 | 2019-06-24 | 2020-07-10 |