| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| CMBC SECURITIES COMPANY LIMITED | Rep | 就证券提供意见 | 2017-06-09 | 2018-09-03 |
| Rep | 证券交易 | 2017-06-09 | 2018-09-03 | |
| CMBC International Securities Limited | Rep | 就证券提供意见 | 2016-12-01 | 2018-09-03 |
| Rep | 证券交易 | 2016-12-01 | 2018-09-03 | |
| BOCOM International (Asia) Limited | Rep | 证券交易 | 2014-08-19 | 2015-04-29 |
| BOCOM International Securities Limited | Rep | 就证券提供意见 | 2014-08-19 | 2015-04-29 |
| Rep | 证券交易 | 2014-08-19 | 2015-04-29 | |
| ICAP Equities Asia Limited | Rep | 证券交易 | 2011-01-28 | 2014-07-31 |