| 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 | 2017-11-02 | 2017-11-17 |
| CMB International Global Markets Limited | RO | 证券交易 | 2016-06-24 | 2017-11-17 |
| CMB International Securities Limited | RO | 证券交易 | 2016-06-17 | 2017-11-17 |
| Rep | 证券交易 | 2014-07-30 | 2016-06-17 | |
| RO | 证券交易 | 2010-06-15 | 2014-07-30 | |
| CMB International Capital Holdings Corporation Limited | RO | 证券交易 | 2009-09-22 | 2011-07-28 |
| Rep | 证券交易 | 2009-05-27 | 2009-09-22 | |
| GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | Rep | 就机构融资提供意见 | - | 2003-12-30 |
| Rep | 就证券提供意见 | - | 2003-12-30 | |
| Rep | 提供资产管理 | - | 2003-12-30 | |
| Rep | 证券交易 | - | 2009-05-18 |