| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CHAOS INTERNATIONAL FINANCIAL LIMITED | RO | 期貨合約交易 | 2016-02-29 | 2017-02-23 |
| Guosen Securities (HK) Brokerage Company, Limited | RO | 就證券提供意見 | 2015-09-07 | 2015-11-27 |
| RO | 證券交易 | 2015-09-07 | 2015-11-27 | |
| RO | 就期貨合約提供意見 | 2015-09-01 | 2015-11-27 | |
| RO | 期貨合約交易 | 2015-09-01 | 2015-11-27 | |
| Rep | 就證券提供意見 | 2014-03-28 | 2015-09-07 | |
| Rep | 就期貨合約提供意見 | 2014-03-12 | 2015-09-01 | |
| Rep | 期貨合約交易 | 2014-03-12 | 2015-09-01 | |
| Rep | 證券交易 | 2014-03-12 | 2015-09-07 | |
| CHINA XIN YONGAN FUTURES COMPANY LIMITED | Rep | 期貨合約交易 | 2011-10-14 | 2014-02-25 |
| CHIEF SECURITIES LIMITED | Rep | 證券交易 | 2010-07-26 | 2011-09-26 |