| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| HARVEST GLOBAL INVESTMENTS LIMITED | RO | 就证券提供意见 | 2016-03-11 | 2019-11-04 |
| RO | 提供资产管理 | 2016-03-11 | 2019-11-04 | |
| RO | 证券交易 | 2016-03-11 | 2019-11-04 | |
| Rep | 就证券提供意见 | 2016-01-07 | 2016-03-11 | |
| Rep | 证券交易 | 2016-01-07 | 2016-03-11 | |
| CHARLES SCHWAB, HONG KONG, LIMITED | RO | 就期货合约提供意见 | 2006-05-11 | 2015-12-24 |
| RO | 就证券提供意见 | 2006-05-11 | 2015-12-24 | |
| RO | 证券交易 | 2006-05-11 | 2015-12-24 | |
| Rep | 就期货合约提供意见 | 2004-06-17 | 2005-07-02 | |
| Rep | 就证券提供意见 | 2004-06-17 | 2005-07-02 | |
| Rep | 证券交易 | 2004-02-11 | 2005-07-02 |