| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| CLSA LIMITED | Rep | 证券交易 | 2012-10-10 | 2014-11-01 |
| CLSA RESEARCH LIMITED | RO | 就证券提供意见 | 2009-05-08 | 2013-02-26 |
| CLSA LIMITED | RO | 证券交易 | 2007-03-09 | 2012-10-10 |
| Rep | 就证券提供意见 | 2006-02-10 | 2006-09-12 | |
| Rep | 证券交易 | 2006-02-10 | 2007-03-09 | |
| CITIC CLSA Capital Partners HK Limited | Rep | 就机构融资提供意见 | 2005-11-02 | 2006-01-30 |
| Rep | 就证券提供意见 | 2005-11-02 | 2006-01-30 | |
| Rep | 提供资产管理 | 2005-11-02 | 2006-01-30 | |
| CLSA LIMITED | Rep | 就机构融资提供意见 | - | 2004-03-18 |
| Rep | 提供资产管理 | - | 2004-03-18 | |
| Rep | 就证券提供意见 | - | 2005-09-29 |