| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | 就期貨合約提供意見 | 2013-08-19 | 2014-01-02 |
| Rep | 期貨合約交易 | 2013-08-19 | 2014-01-02 | |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 就證券提供意見 | 2013-08-19 | 2014-01-02 |
| Rep | 證券交易 | 2013-08-19 | 2014-01-02 | |
| Rep | 槓桿式外匯交易 | 2013-08-19 | 2014-01-02 | |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2013-05-24 | 2013-08-01 |
| VL ASSET MANAGEMENT LIMITED | Rep | 提供資產管理 | 2009-08-27 | 2013-04-30 |