| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| CMB International Securities Limited | Rep | 就证券提供意见 | 2021-11-16 | 2022-05-10 |
| CMB International Global Markets Limited | Rep | 证券交易 | 2019-07-26 | 2022-02-07 |
| CMB INTERNATIONAL FUTURES LIMITED | Rep | 期货合约交易 | 2016-05-25 | 2022-05-10 |
| CMB International Securities Limited | RO | 证券交易 | 2015-10-14 | 2022-05-10 |
| Rep | 证券交易 | 2015-01-12 | 2015-10-14 | |
| CITIC Securities Brokerage (HK) Limited | Rep | 就机构融资提供意见 | - | 2004-03-11 |
| Rep | 提供自动化交易服务 | - | 2004-03-11 | |
| Rep | 就证券提供意见 | - | 2004-04-29 | |
| Rep | 提供资产管理 | - | 2004-04-29 | |
| Rep | 证券交易 | - | 2014-12-26 | |
| CITIC Securities Futures (HK) Limited | Rep | 期货合约交易 | - | 2014-12-26 |