| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CMB International Global Markets Limited | Rep | 證券交易 | 2019-07-16 | 2021-06-30 |
| CMB INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2019-03-22 | 2021-06-30 |
| CMB International Securities Limited | Rep | 證券交易 | 2019-03-22 | 2021-06-30 |
| CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | 就機構融資提供意見 | 2011-05-16 | 2013-02-14 |
| SOUTH CHINA SECURITIES LIMITED | Rep | 證券交易 | 2010-12-15 | 2011-04-30 |
| SOUTH CHINA CAPITAL LIMITED | Rep | 就機構融資提供意見 | 2010-05-06 | 2011-04-30 |