| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CHINA SECURITIES LIMITED | RO | 就證券提供意見 | 2022-02-10 | 2024-01-02 |
| Rep | 就證券提供意見 | 2020-02-24 | 2022-02-10 | |
| RO | 證券交易 | 2020-01-13 | 2024-01-02 | |
| Rep | 證券交易 | 2019-12-02 | 2020-01-13 | |
| VAST HARBOUR SECURITIES LIMITED | RO | 證券交易 | 2017-11-29 | 2019-11-08 |
| Rep | 證券交易 | 2017-05-25 | 2017-11-29 | |
| Quam Securities Limited | Rep | 期貨合約交易 | 2011-08-10 | 2017-04-29 |
| Rep | 證券交易 | 2011-08-10 | 2017-04-29 | |
| Funderstone Futures Limited | Rep | 期貨合約交易 | 2010-02-01 | 2011-07-31 |
| Funderstone Securities Limited | Rep | 證券交易 | 2010-02-01 | 2011-07-31 |