| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| VAST HARBOUR SECURITIES LIMITED | Rep | 證券交易 | 2011-05-12 | 2012-03-01 |
| CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED | Rep | 期貨合約交易 | 2004-05-25 | 2011-04-27 |
| CHINA EVERBRIGHT SECURITIES (HK) LIMITED | Rep | 證券交易 | 2004-02-10 | 2011-04-27 |
| Beijing Securities Limited | Rep | 就機構融資提供意見 | - | 2004-02-07 |
| Rep | 就證券提供意見 | - | 2004-02-07 | |
| Rep | 提供資產管理 | - | 2004-02-07 | |
| Rep | 證券交易 | - | 2004-02-09 |