| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| ICBC INTERNATIONAL SECURITIES LIMITED | RO | 就證券提供意見 | 2020-01-21 | - |
| RO | 證券交易 | 2020-01-21 | - | |
| ICBC INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2017-09-29 | - |
| ICBC INTERNATIONAL SECURITIES LIMITED | Rep | 就證券提供意見 | 2017-09-29 | 2020-01-21 |
| Rep | 證券交易 | 2017-09-29 | 2020-01-21 | |
| HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2014-05-13 | 2017-02-27 |
| Rep | 證券交易 | 2014-05-13 | 2017-02-27 | |
| NATIXIS ASIA LIMITED | Rep | 就證券提供意見 | 2012-05-04 | 2014-01-10 |
| Rep | 證券交易 | 2012-05-04 | 2014-01-10 |