| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Quam Securities Limited | Rep | 期貨合約交易 | 2019-12-16 | 2023-02-22 |
| Rep | 證券交易 | 2019-12-16 | 2023-02-22 | |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | 期貨合約交易 | 2010-11-19 | 2019-11-27 |
| SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED | Rep | 就證券提供意見 | 2009-06-15 | 2013-07-05 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2007-12-12 | 2019-11-27 |
| SHENYIN WANGUO ONLINE BROKER (H.K.) LIMITED | Rep | 證券交易 | 2007-12-12 | 2014-04-28 |