| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2011-12-08 | 2014-05-30 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2011-12-08 | 2014-05-30 |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | 期貨合約交易 | 2011-04-21 | 2011-11-19 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2011-03-21 | 2011-11-19 |