| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2007-10-31 | - |
| RO | 證券交易 | 2006-11-15 | 2007-10-31 | |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | 期貨合約交易 | 2006-06-30 | - |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2006-06-30 | 2006-11-15 |
| CHINA MERCHANTS FUTURES (HK) CO., LIMITED | Rep | 就期貨合約提供意見 | 2003-04-01 | 2004-05-24 |
| Rep | 提供資產管理 | 2003-04-01 | 2004-05-24 | |
| Rep | 提供自動化交易服務 | 2003-04-01 | 2004-05-24 | |
| Rep | 期貨合約交易 | 2003-04-01 | 2006-06-24 | |
| CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-05-24 |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-05-24 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-05-24 | |
| Rep | 提供自動化交易服務 | 2003-04-01 | 2004-05-24 | |
| Rep | 證券交易 | 2003-04-01 | 2006-06-24 |
已採集記錄中暫無金管局登記。