| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| UNITED SIMSEN FOREX DEALERS LIMITED | Rep | 槓桿式外匯交易 | 2013-05-02 | 2015-05-23 |
| XinKong International Securities Limited | Rep | 期貨合約交易 | 2013-05-02 | 2015-05-23 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2011-11-15 | 2013-04-22 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2010-02-11 | 2013-04-22 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 槓桿式外匯交易 | 2009-11-10 | 2013-04-22 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2009-08-18 | 2009-08-19 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2009-08-18 | 2009-08-19 |