| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| ICBC INTERNATIONAL SECURITIES LIMITED | Rep | 期貨合約交易 | 2013-12-30 | 2014-11-13 |
| ICBC INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2013-10-25 | 2014-11-13 |
| ICBC INTERNATIONAL SECURITIES LIMITED | Rep | 證券交易 | 2013-10-25 | 2014-11-13 |
| SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED | Rep | 就機構融資提供意見 | 2011-11-17 | 2013-09-01 |
| Rep | 就證券提供意見 | 2011-11-17 | 2013-09-01 | |
| Rep | 證券交易 | 2011-11-17 | 2013-09-01 |