| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SHENG YUAN SECURITIES LIMITED | Rep | 證券交易 | 2011-05-26 | 2013-10-01 |
| HUA NAN SECURITIES (HK) LIMITED | Rep | 證券交易 | 2008-11-11 | 2011-05-06 |
| SDIC Securities International Financial Holdings Limited | Rep | 就機構融資提供意見 | - | 2005-02-23 |
| Rep | 就證券提供意見 | - | 2005-02-23 | |
| Rep | 提供資產管理 | - | 2005-02-23 | |
| Rep | 證券交易 | - | 2008-11-01 |