| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED | RO | 就期貨合約提供意見 | 2017-02-22 | 2022-03-18 |
| RO | 就證券提供意見 | 2015-10-29 | 2022-03-18 | |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | 期貨合約交易 | 2011-06-09 | 2016-11-01 |
| SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED | Rep | 就證券提供意見 | 2011-06-09 | 2015-10-29 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2011-06-09 | 2013-07-08 |
| YF SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2010-01-13 | 2011-05-26 |
| WING FUNG SECURITIES LIMITED | Rep | 證券交易 | 2009-08-04 | 2009-08-31 |