| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CMB International Global Markets Limited | RO | 就證券提供意見 | 2023-02-06 | 2025-11-03 |
| RO | 證券交易 | 2023-02-06 | 2025-11-03 | |
| Rep | 證券交易 | 2022-11-25 | 2023-02-06 | |
| CMB International Capital Limited | RO | 證券交易 | 2021-06-16 | 2022-11-14 |
| RO | 就機構融資提供意見 | 2015-12-22 | 2022-11-14 | |
| Rep | 證券交易 | 2015-12-17 | 2021-06-16 | |
| Rep | 就機構融資提供意見 | 2015-10-20 | 2015-12-22 | |
| UBS SECURITIES HONG KONG LIMITED | RO | 就機構融資提供意見 | 2014-01-14 | 2015-05-22 |
| Rep | 就機構融資提供意見 | 2012-06-07 | 2014-01-14 | |
| BNP PARIBAS CAPITAL (ASIA PACIFIC) LIMITED | Rep | 就機構融資提供意見 | 2005-02-03 | 2006-03-31 |