| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| RONGTONG GLOBAL INVESTMENT LIMITED | Rep | 就證券提供意見 | 2023-10-16 | - |
| Rep | 提供資產管理 | 2023-10-16 | - | |
| Rep | 證券交易 | 2023-10-16 | - | |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | 期貨合約交易 | 2014-10-07 | 2014-11-01 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2014-10-07 | 2014-11-01 |
| Soochow Securities International Futures Limited | Rep | 期貨合約交易 | 2012-11-23 | 2014-08-28 |
| Soochow Securities International Brokerage Limited | Rep | 證券交易 | 2012-06-13 | 2014-08-28 |
| PRUDENTIAL BROKERAGE LIMITED | Rep | 證券交易 | 2011-08-02 | 2012-04-30 |