| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| ICEA CAPITAL ASIA LIMITED | RO | 證券交易 | 2007-04-19 | 2008-09-01 |
| RO | 就機構融資提供意見 | 2007-04-19 | 2008-09-30 | |
| ICEA CAPITAL LIMITED | RO | 就機構融資提供意見 | 2006-07-31 | 2009-06-30 |
| RO | 證券交易 | 2006-07-31 | 2009-06-30 | |
| Rep | 就機構融資提供意見 | 2006-05-23 | 2006-07-31 | |
| Rep | 證券交易 | 2006-05-23 | 2006-07-31 | |
| CCB INTERNATIONAL SECURITIES LIMITED | RO | 就證券提供意見 | 2005-10-10 | 2006-04-27 |
| RO | 證券交易 | 2005-08-19 | 2006-04-27 | |
| CCB INTERNATIONAL CAPITAL LIMITED | RO | 就機構融資提供意見 | 2004-05-27 | 2006-04-27 |
| RO | 證券交易 | 2004-05-27 | 2006-04-27 | |
| CHINA EVERBRIGHT CAPITAL LIMITED | RO | 就機構融資提供意見 | - | 2003-04-18 |