| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | 期货合约交易 | 2004-05-12 | - |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 证券交易 | 2004-05-12 | - |
| KAISER FUTURES LIMITED | Rep | 就期货合约提供意见 | 2003-04-01 | 2003-05-16 |
| Rep | 提供资产管理 | 2003-04-01 | 2003-05-16 | |
| Rep | 期货合约交易 | 2003-04-01 | 2003-09-22 | |
| KAISER SECURITIES LIMITED | Rep | 就机构融资提供意见 | 2003-04-01 | 2003-05-16 |
| Rep | 就证券提供意见 | 2003-04-01 | 2003-05-16 | |
| Rep | 提供资产管理 | 2003-04-01 | 2003-05-16 | |
| Rep | 证券交易 | 2003-04-01 | 2003-05-16 |