| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Prime China Securities Limited | RO | 就證券提供意見 | 2017-12-11 | - |
| RO | 證券交易 | 2017-12-11 | - | |
| Rep | 就證券提供意見 | 2017-05-04 | 2017-12-11 | |
| Rep | 證券交易 | 2017-05-04 | 2017-12-11 | |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | 期貨合約交易 | 2004-01-08 | 2017-03-17 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2004-01-08 | 2017-03-17 |
| CHINA MERCHANTS FUTURES (HK) CO., LIMITED | Rep | 期貨合約交易 | 2003-06-20 | 2004-01-06 |
| CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | 證券交易 | 2003-06-20 | 2004-01-06 |