| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED | RO | 就證券提供意見 | 2012-08-13 | 2015-08-13 |
| CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED | RO | 期貨合約交易 | 2012-06-28 | 2015-08-13 |
| Rep | 期貨合約交易 | 2012-01-27 | 2012-06-28 | |
| CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED | RO | 證券交易 | 2012-01-17 | 2015-08-13 |
| Rep | 證券交易 | 2008-07-18 | 2012-01-17 |