| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| DBS VICKERS (HONG KONG) LIMITED | Rep | 就证券提供意见 | 2011-11-02 | 2014-06-06 |
| Safari Asia Limited | Rep | 就证券提供意见 | 2011-03-14 | 2011-09-14 |
| Rep | 提供资产管理 | 2011-03-14 | 2011-09-14 | |
| HAITONG INTERNATIONAL RESEARCH LIMITED | Rep | 就证券提供意见 | 2009-11-17 | 2011-03-01 |
| HSBC BROKING FOREX (ASIA) LIMITED | Rep | 杠杆式外汇交易 | 2009-02-26 | 2009-05-20 |
| HSBC BROKING FUTURES (ASIA) LIMITED | Rep | 期货合约交易 | 2009-02-26 | 2009-05-20 |
| HSBC BROKING FUTURES (HONG KONG) LIMITED | Rep | 期货合约交易 | 2009-02-26 | 2009-05-20 |
| HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | 证券交易 | 2009-02-26 | 2009-05-20 |