| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CMBC SECURITIES COMPANY LIMITED | RO | 證券交易 | 2011-12-20 | 2014-08-28 |
| CMBC INTERNATIONAL FUTURES COMPANY LIMITED | Rep | 期貨合約交易 | 2011-10-13 | 2014-08-28 |
| CMBC SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2011-10-13 | 2011-12-20 |
| XinKong International Securities Limited | Rep | 期貨合約交易 | 2005-06-21 | 2011-10-06 |
| Rep | 就機構融資提供意見 | - | 2004-01-08 | |
| Rep | 就證券提供意見 | - | 2004-01-08 | |
| Rep | 提供資產管理 | - | 2004-01-08 | |
| Rep | 提供自動化交易服務 | - | 2004-01-08 | |
| Rep | 證券交易 | - | 2011-10-06 |