| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | RO | 就证券提供意见 | 2025-12-19 | - |
| RO | 期货合约交易 | 2025-12-19 | - | |
| RO | 证券交易 | 2025-12-19 | - | |
| RO | 杠杆式外汇交易 | 2025-12-19 | - | |
| Rep | 就证券提供意见 | 2025-11-10 | 2025-12-19 | |
| Rep | 期货合约交易 | 2025-11-10 | 2025-12-19 | |
| Rep | 证券交易 | 2025-11-10 | 2025-12-19 | |
| Rep | 杠杆式外汇交易 | 2025-11-10 | 2025-12-19 | |
| CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED | RO | 提供资产管理 | 2024-06-28 | 2025-06-27 |
| Rep | 提供资产管理 | 2021-10-08 | 2024-06-28 | |
| CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED | RO | 就期货合约提供意见 | 2020-11-18 | 2025-06-27 |
| RO | 期货合约交易 | 2020-11-18 | 2025-06-27 | |
| CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED | RO | 就证券提供意见 | 2020-11-18 | 2025-06-27 |
| RO | 证券交易 | 2020-11-18 | 2025-06-27 | |
| CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED | Rep | 期货合约交易 | 2020-06-02 | 2020-11-18 |
| CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED | Rep | 就证券提供意见 | 2020-06-02 | 2020-11-18 |
| Rep | 证券交易 | 2020-06-02 | 2020-11-18 | |
| Vontobel Limited | Rep | 期货合约交易 | 2018-11-22 | 2020-05-30 |
| Rep | 证券交易 | 2018-11-22 | 2020-05-30 | |
| CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED | Rep | 期货合约交易 | 2017-11-23 | 2018-10-23 |
| CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED | Rep | 就证券提供意见 | 2017-11-23 | 2018-10-23 |
| Rep | 证券交易 | 2017-11-23 | 2018-10-23 | |
| Credit Suisse (Hong Kong) Limited | Rep | 提供自动化交易服务 | 2012-10-03 | 2013-11-01 |
| Rep | 期货合约交易 | 2012-10-03 | 2015-02-11 | |
| Rep | 证券交易 | 2012-10-03 | 2015-02-11 | |
| Credit Suisse Securities (Hong Kong) Limited | Rep | 证券交易 | 2012-10-03 | 2015-02-11 |
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