| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| CNI Global Assets Management Limited (HK) | RO | 提供资产管理 | 2015-06-02 | - |
| CNI Securities Group Limited | RO | 就证券提供意见 | 2014-05-13 | - |
| RO | 期货合约交易 | 2011-06-28 | - | |
| RO | 证券交易 | 2011-06-28 | - | |
| Rep | 证券交易 | 2010-05-10 | 2010-06-24 | |
| GBS INTERNATIONAL FINANCIAL LIMITED | Rep | 期货合约交易 | 2009-12-18 | 2010-08-18 |
| Rep | 期货合约交易 | 2009-06-30 | 2009-07-17 | |
| WING FUNG FUTURES LIMITED | Rep | 期货合约交易 | 2007-11-13 | 2009-06-10 |
| WING FUNG SECURITIES LIMITED | Rep | 证券交易 | 2007-11-13 | 2009-06-10 |