| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| ICBC INTERNATIONAL CAPITAL LIMITED | RO | 就機構融資提供意見 | 2020-09-01 | - |
| Rep | 就證券提供意見 | 2020-04-24 | - | |
| Rep | 證券交易 | 2020-04-24 | - | |
| ICBC INTERNATIONAL SECURITIES LIMITED | Rep | 證券交易 | 2020-04-24 | - |
| ICBC INTERNATIONAL CAPITAL LIMITED | Rep | 就機構融資提供意見 | 2020-04-16 | 2020-09-01 |
| GUOTAI JUNAN CAPITAL LIMITED | RO | 就機構融資提供意見 | 2013-03-12 | 2020-02-07 |
| Rep | 就機構融資提供意見 | 2010-12-22 | 2013-03-12 | |
| Optima Capital Limited | Rep | 就證券提供意見 | 2007-11-20 | 2010-03-31 |
| Rep | 證券交易 | 2007-11-20 | 2010-12-03 | |
| Rep | 就機構融資提供意見 | 2007-09-05 | 2010-12-03 | |
| Shang International Finance Limited | Rep | 就機構融資提供意見 | 2006-07-03 | 2007-09-01 |
| Rep | 就證券提供意見 | 2006-07-03 | 2007-09-01 | |
| Rep | 證券交易 | 2006-07-03 | 2007-09-01 |
已採集記錄中暫無金管局登記。