| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| KGI ASIA LIMITED | Rep | 就证券提供意见 | 2017-10-03 | 2020-12-02 |
| Rep | 就证券提供意见 | 2014-12-17 | 2017-10-02 | |
| ICBC INTERNATIONAL RESEARCH LIMITED | RO | 就证券提供意见 | 2009-07-10 | 2012-07-27 |
| ICBC INTERNATIONAL SECURITIES LIMITED | Rep | 证券交易 | 2009-05-12 | 2009-07-14 |
| ICEA SECURITIES ASIA LIMITED | RO | 就证券提供意见 | 2009-04-15 | 2009-04-30 |
| Rep | 就证券提供意见 | 2006-02-20 | 2009-04-15 | |
| SBI China Capital Securities Limited | Rep | 就证券提供意见 | 2004-04-19 | 2006-02-12 |
| CES Private (HK) Limited | Rep | 就机构融资提供意见 | - | 2004-01-09 |
| Rep | 提供资产管理 | - | 2004-01-09 | |
| Rep | 就证券提供意见 | - | 2004-03-25 |