| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| Caitong International Asset Management Co., Limited | Rep | 提供资产管理 | 2013-12-11 | 2018-04-16 |
| CAITONG INTERNATIONAL SECURITIES CO., LIMITED | Rep | 证券交易 | 2012-08-08 | 2018-04-16 |
| ASA SECURITIES LIMITED | Rep | 期货合约交易 | 2011-08-29 | 2011-09-01 |
| Rep | 证券交易 | 2011-08-29 | 2011-09-01 | |
| Ark Securities (Hong Kong) Limited | Rep | 就机构融资提供意见 | 2009-08-14 | 2011-08-15 |
| Rep | 提供资产管理 | 2009-08-14 | 2011-08-15 | |
| PROVIDENT FUTURES (HONG KONG) LIMITED | Rep | 期货合约交易 | 2008-08-13 | 2011-08-15 |
| Ark Securities (Hong Kong) Limited | Rep | 证券交易 | 2007-06-20 | 2011-08-15 |