| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CCB INTERNATIONAL SECURITIES LIMITED | Rep | 期貨合約交易 | 2014-01-30 | 2018-11-01 |
| CCB INTERNATIONAL ASSET MANAGEMENT LIMITED | Rep | 提供資產管理 | 2012-08-06 | 2018-11-01 |
| Rep | 證券交易 | 2012-08-06 | 2018-11-01 | |
| CCB INTERNATIONAL CAPITAL LIMITED | Rep | 證券交易 | 2012-08-06 | 2018-11-01 |
| CCB INTERNATIONAL SECURITIES LIMITED | Rep | 就證券提供意見 | 2012-08-06 | 2018-11-01 |
| Rep | 證券交易 | 2012-08-06 | 2018-11-01 | |
| SINOPAC SECURITIES (ASIA) LIMITED | RO | 證券交易 | 2005-03-22 | 2006-02-26 |
| Rep | 證券交易 | 2004-12-07 | 2005-03-22 | |
| Public Financial Securities Limited | RO | 證券交易 | 2003-11-07 | 2004-06-21 |