| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| IMPERIUM INTERNATIONAL SECURITIES LIMITED | Rep | 期貨合約交易 | 2013-05-28 | 2016-04-20 |
| Rep | 證券交易 | 2012-01-10 | 2016-04-20 | |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2008-10-27 | 2011-12-08 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2008-03-18 | 2011-12-08 |
| Rep | 槓桿式外匯交易 | 2007-11-22 | 2011-12-08 |