| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CHINA DEMETER SECURITIES LIMITED | Rep | 就證券提供意見 | 2015-08-17 | 2017-06-13 |
| Rep | 證券交易 | 2015-01-28 | 2017-06-13 | |
| RO | 證券交易 | 2014-07-28 | 2015-01-28 | |
| Rep | 證券交易 | 2014-05-09 | 2014-07-28 | |
| CHIEF SECURITIES LIMITED | Rep | 證券交易 | 2006-03-22 | 2014-05-01 |
| SOEN TAK SECURITIES COMPANY LIMITED | RO | 證券交易 | 2004-11-16 | 2005-12-20 |
| Rep | 就機構融資提供意見 | - | 2003-10-10 | |
| Rep | 就證券提供意見 | - | 2003-10-10 | |
| Rep | 提供資產管理 | - | 2003-10-10 | |
| Rep | 證券交易 | - | 2004-11-16 |