| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CHINA SECURITIES HOLDINGS LIMITED | RO | 證券交易 | 2009-04-16 | 2013-08-12 |
| Rep | 證券交易 | 2005-05-24 | 2009-04-16 | |
| SHUN HENG SECURITIES LIMITED | Rep | 證券交易 | 2005-01-24 | 2005-05-21 |
| HOORAY SECURITIES LIMITED | Rep | 就機構融資提供意見 | - | 2004-03-18 |
| Rep | 就證券提供意見 | - | 2004-03-18 | |
| Rep | 提供資產管理 | - | 2004-03-18 | |
| Rep | 證券交易 | - | 2005-01-12 |