| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | 期貨合約交易 | 2009-09-15 | 2018-04-26 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2009-07-31 | 2018-04-26 |
| Quam Securities Limited | Rep | 證券交易 | 2006-11-27 | 2009-07-22 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2005-10-04 | 2006-11-23 |
| DRAKE & MORGAN LIMITED | Rep | 就機構融資提供意見 | - | 2003-05-31 |
| Rep | 就證券提供意見 | - | 2003-05-31 | |
| Rep | 提供資產管理 | - | 2003-05-31 | |
| Rep | 證券交易 | - | 2003-05-31 |