| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| Soochow Securities International Brokerage Limited | Rep | 证券交易 | 2014-12-02 | - |
| Soochow Securities International Futures Limited | Rep | 期货合约交易 | 2014-12-02 | - |
| CHINA MERCHANTS FUTURES (HK) CO., LIMITED | Rep | 期货合约交易 | 2007-01-17 | 2014-11-07 |
| CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | 证券交易 | 2006-09-25 | 2014-11-07 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期货合约交易 | 2003-11-06 | 2006-09-18 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 就机构融资提供意见 | 2003-04-01 | 2003-11-05 |
| Rep | 就证券提供意见 | 2003-04-01 | 2003-11-05 | |
| Rep | 提供资产管理 | 2003-04-01 | 2003-11-05 | |
| Rep | 证券交易 | 2003-04-01 | 2006-09-18 |