| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED | Rep | 就證券提供意見 | 2013-12-18 | 2014-01-23 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2013-12-18 | 2016-09-26 |
| RHB SECURITIES HONG KONG LIMITED | Rep | 就證券提供意見 | 2013-06-06 | 2013-12-09 |
| Rep | 證券交易 | 2013-06-06 | 2013-12-09 | |
| SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED | Rep | 就證券提供意見 | 2008-09-22 | 2013-06-01 |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | 期貨合約交易 | 2008-02-20 | 2008-08-25 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2008-02-20 | 2013-06-01 |