| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| BOCOM International Securities Limited | RO | 就證券提供意見 | 2019-05-14 | - |
| RO | 期貨合約交易 | 2019-05-14 | - | |
| Rep | 就證券提供意見 | 2018-02-02 | 2019-05-14 | |
| RO | 證券交易 | 2012-02-24 | - | |
| Rep | 證券交易 | 2007-09-12 | 2012-02-24 | |
| Rep | 期貨合約交易 | 2007-09-12 | 2019-05-14 | |
| BOCOM International Holdings Company Limited | Rep | 期貨合約交易 | 2005-11-22 | 2008-03-03 |
| Rep | 提供自動化交易服務 | 2003-04-01 | 2003-09-08 | |
| Rep | 就機構融資提供意見 | 2003-04-01 | 2004-04-26 | |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-04-26 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-04-26 | |
| Rep | 證券交易 | 2003-04-01 | 2008-03-03 |