| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CCB INTERNATIONAL SECURITIES LIMITED | Rep | 證券交易 | 2007-09-11 | 2009-07-31 |
| MIB SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2003-09-01 | 2007-08-25 |
| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | 就機構融資提供意見 | - | 2003-07-19 |
| Rep | 就證券提供意見 | - | 2003-07-19 | |
| Rep | 提供資產管理 | - | 2003-07-19 | |
| Rep | 提供自動化交易服務 | - | 2003-07-19 | |
| Rep | 證券交易 | - | 2003-07-19 | |
| CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | 就機構融資提供意見 | - | 2003-07-19 |
| Rep | 就證券提供意見 | - | 2003-07-19 | |
| Rep | 提供資產管理 | - | 2003-07-19 | |
| Rep | 提供自動化交易服務 | - | 2003-07-19 | |
| Rep | 證券交易 | - | 2003-07-19 |