| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CMB INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2021-04-16 | - |
| CMB International Securities Limited | Rep | 證券交易 | 2021-04-16 | - |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2009-12-17 | 2021-03-10 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2009-04-09 | 2021-03-10 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 證券交易 | 2009-03-26 | 2009-03-31 |