| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| PIPER JAFFRAY ASIA FUTURES LIMITED | RO | 期货合约交易 | 2004-02-13 | 2005-07-27 |
| PIPER JAFFRAY ASIA SECURITIES LIMITED | RO | 就证券提供意见 | 2003-10-29 | 2005-11-01 |
| RO | 证券交易 | 2003-10-29 | 2005-11-01 | |
| Rep | 就证券提供意见 | 2003-09-09 | 2003-10-29 | |
| Rep | 证券交易 | 2003-09-09 | 2003-10-29 | |
| SHENWAN HONGYUAN ASSET MANAGEMENT (ASIA) LIMITED | RO | 就证券提供意见 | - | 2003-07-17 |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | 就期货合约提供意见 | - | 2003-07-17 |
| Rep | 期货合约交易 | - | 2003-07-17 | |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | RO | 就证券提供意见 | - | 2003-07-17 |
| RO | 提供自动化交易服务 | - | 2003-07-17 | |
| RO | 证券交易 | - | 2003-07-17 |