| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED | Rep | 就證券提供意見 | 2012-01-26 | 2013-07-05 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2012-01-26 | - |
| KGI ASIA LIMITED | Rep | 證券交易 | 2010-01-29 | 2012-01-08 |
| ETRADE SECURITIES (HONG KONG) LIMITED | Rep | 槓桿式外匯交易 | 2007-07-09 | 2007-08-24 |
| Rep | 就證券提供意見 | 2007-04-25 | 2007-08-24 | |
| Rep | 證券交易 | 2007-04-25 | 2007-08-24 |