| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| KGI ASIA LIMITED | Rep | 就證券提供意見 | 2017-10-03 | 2020-12-02 |
| Rep | 就證券提供意見 | 2014-12-17 | 2017-10-02 | |
| ICBC INTERNATIONAL RESEARCH LIMITED | RO | 就證券提供意見 | 2009-07-10 | 2012-07-27 |
| ICBC INTERNATIONAL SECURITIES LIMITED | Rep | 證券交易 | 2009-05-12 | 2009-07-14 |
| ICEA SECURITIES ASIA LIMITED | RO | 就證券提供意見 | 2009-04-15 | 2009-04-30 |
| Rep | 就證券提供意見 | 2006-02-20 | 2009-04-15 | |
| SBI China Capital Securities Limited | Rep | 就證券提供意見 | 2004-04-19 | 2006-02-12 |
| CES Private (HK) Limited | Rep | 就機構融資提供意見 | - | 2004-01-09 |
| Rep | 提供資產管理 | - | 2004-01-09 | |
| Rep | 就證券提供意見 | - | 2004-03-25 |