| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| CMB International Global Markets Limited | Rep | 证券交易 | 2019-07-16 | 2022-02-07 |
| CMB INTERNATIONAL FUTURES LIMITED | Rep | 期货合约交易 | 2019-04-01 | - |
| CMB International Securities Limited | Rep | 证券交易 | 2019-04-01 | - |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 证券交易 | 2017-08-15 | 2018-02-07 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 期货合约交易 | 2017-08-15 | 2018-02-07 |
| GUOYUAN FUTURES (HONG KONG) LIMITED | Rep | 期货合约交易 | 2016-10-12 | 2017-03-10 |
| GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED | Rep | 证券交易 | 2016-10-12 | 2017-03-10 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 杠杆式外汇交易 | 2004-04-23 | 2007-06-07 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | 就期货合约提供意见 | 2003-04-01 | 2003-10-06 |
| Rep | 提供资产管理 | 2003-04-01 | 2003-10-06 | |
| Rep | 提供自动化交易服务 | 2003-04-01 | 2003-10-06 | |
| Rep | 期货合约交易 | 2003-04-01 | 2016-09-08 | |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 就机构融资提供意见 | 2003-04-01 | 2003-09-29 |
| Rep | 提供资产管理 | 2003-04-01 | 2003-09-29 | |
| Rep | 提供自动化交易服务 | 2003-04-01 | 2003-09-29 | |
| Rep | 就证券提供意见 | 2003-04-01 | 2003-10-06 | |
| Rep | 证券交易 | 2003-04-01 | 2016-09-08 |
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