| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| iBest Consultants Limited | Rep | 就證券提供意見 | 2010-06-03 | 2011-03-22 |
| Rep | 提供資產管理 | 2010-06-03 | 2011-03-22 | |
| Rep | 證券交易 | 2010-06-03 | 2011-03-22 | |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2008-11-17 | 2012-01-18 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2008-11-17 | 2012-01-18 |
| Rep | 槓桿式外匯交易 | 2005-09-20 | 2012-01-18 | |
| CINDA INTERNATIONAL INVESTMENT MANAGEMENT LIMITED | Rep | 槓桿式外匯交易 | 2004-05-12 | 2005-01-06 |