| 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 | 2009-02-16 | - |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2009-02-16 | - |
| MIZUHO SECURITIES ASIA LIMITED | Rep | 就證券提供意見 | 2006-09-18 | 2007-06-30 |
| Rep | 證券交易 | 2006-05-11 | 2007-06-30 | |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | 期貨合約交易 | 2004-06-11 | 2006-05-10 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2004-06-11 | 2006-05-10 |