| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| CHARLES SCHWAB, HONG KONG, LIMITED | Rep | 就期货合约提供意见 | 2010-05-14 | 2012-03-20 |
| Rep | 就证券提供意见 | 2010-05-14 | 2012-03-20 | |
| Rep | 证券交易 | 2010-05-14 | 2012-03-20 | |
| Rep | 就期货合约提供意见 | 2004-08-27 | 2007-06-12 | |
| Rep | 就机构融资提供意见 | - | 2004-04-27 | |
| Rep | 提供资产管理 | - | 2004-04-27 | |
| Rep | 提供自动化交易服务 | - | 2004-04-27 | |
| Rep | 就证券提供意见 | - | 2007-06-12 | |
| Rep | 证券交易 | - | 2007-06-12 |