| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| CMB International Securities Limited | Rep | 证券交易 | 2014-06-18 | 2015-04-26 |
| Soochow Securities International Futures Limited | Rep | 期货合约交易 | 2013-08-16 | 2014-05-29 |
| Soochow Securities International Brokerage Limited | Rep | 就证券提供意见 | 2012-08-13 | 2014-05-29 |
| Rep | 证券交易 | 2012-08-13 | 2014-05-29 | |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 就证券提供意见 | 2011-12-06 | 2012-04-01 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期货合约交易 | 2010-09-02 | 2012-04-01 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 证券交易 | 2010-09-02 | 2012-04-01 |