| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| CCB INTERNATIONAL SECURITIES LIMITED | RO | 就证券提供意见 | 2009-01-08 | - |
| RO | 证券交易 | 2009-01-08 | - | |
| Rep | 就证券提供意见 | 2008-07-23 | 2009-01-08 | |
| Rep | 证券交易 | 2008-07-23 | 2009-01-08 | |
| BEAR STEARNS ASIA LIMITED | Rep | 期货合约交易 | 2007-07-09 | 2008-05-30 |
| Rep | 就证券提供意见 | 2005-02-07 | 2008-05-30 | |
| Rep | 证券交易 | 2005-02-07 | 2008-05-30 | |
| J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | 就机构融资提供意见 | 2003-04-01 | 2003-12-02 |
| Rep | 提供资产管理 | 2003-04-01 | 2003-12-02 | |
| Rep | 提供自动化交易服务 | 2003-04-01 | 2003-12-02 | |
| Rep | 就证券提供意见 | 2003-04-01 | 2005-02-07 | |
| Rep | 证券交易 | 2003-04-01 | 2005-02-07 |