| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| CMB International Securities Limited | RO | 就证券提供意见 | 2016-09-28 | 2021-04-28 |
| Rep | 证券交易 | 2011-06-10 | 2017-02-22 | |
| KGI ASIA LIMITED | Rep | 就证券提供意见 | 2010-01-13 | 2011-05-04 |
| FIRST SHANGHAI SECURITIES LIMITED | Rep | 就证券提供意见 | 2006-06-28 | 2010-01-01 |
| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | 就证券提供意见 | 2006-02-17 | 2006-04-29 |
| SMBC NIKKO SECURITIES (HONG KONG) LIMITED | Rep | 就证券提供意见 | 2004-10-15 | 2005-07-08 |
| CHINA MERCHANTS FUTURES (HK) CO., LIMITED | Rep | 期货合约交易 | 2003-08-25 | 2004-08-09 |
| CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | 证券交易 | 2003-08-25 | 2004-08-09 |