| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED | Rep | 就期貨合約提供意見 | 2017-05-04 | 2019-08-24 |
| Rep | 就證券提供意見 | 2017-05-04 | 2019-08-24 | |
| GUODU FUTURES (HONG KONG) LIMITED | Rep | 就期貨合約提供意見 | 2015-10-29 | 2017-04-07 |
| Rep | 期貨合約交易 | 2015-10-29 | 2017-04-07 | |
| GUODU SECURITIES (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2015-09-16 | 2017-04-07 |
| Rep | 證券交易 | 2015-09-16 | 2017-04-07 |