| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CCB INTERNATIONAL SECURITIES LIMITED | Rep | 就證券提供意見 | 2012-04-27 | 2012-12-07 |
| Rep | 證券交易 | 2012-04-27 | 2012-12-07 | |
| SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED | Rep | 就證券提供意見 | 2010-04-13 | 2012-04-10 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2010-04-13 | 2012-04-10 |
| SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED | Rep | 就證券提供意見 | 2006-08-01 | 2008-08-30 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2006-08-01 | 2008-08-30 |