| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| China Galaxy International Futures (Hong Kong) Co., Limited | Rep | 期貨合約交易 | 2012-09-03 | - |
| China Galaxy International Securities (Hong Kong) Co., Limited | Rep | 證券交易 | 2012-09-03 | - |
| PIPER JAFFRAY ASIA FUTURES LIMITED | Rep | 期貨合約交易 | 2008-03-25 | 2012-08-24 |
| PIPER JAFFRAY ASIA SECURITIES LIMITED | Rep | 證券交易 | 2008-03-25 | 2012-08-24 |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | 期貨合約交易 | 2008-02-12 | 2008-02-26 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2008-02-12 | 2008-02-26 |