| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CMB International Global Markets Limited | Rep | 證券交易 | 2021-09-17 | 2021-11-26 |
| CMB INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2020-05-12 | 2021-11-26 |
| CMB International Securities Limited | Rep | 就證券提供意見 | 2020-05-12 | 2021-11-26 |
| Rep | 證券交易 | 2020-05-12 | 2021-11-26 | |
| GUOTAI JUNAN FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2018-02-13 | 2020-04-09 |
| GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2018-02-13 | 2020-04-09 |
| Rep | 證券交易 | 2018-02-13 | 2020-04-09 |