| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| VTB Capital Hong Kong Limited | RO | 就证券提供意见 | 2015-04-22 | 2016-07-21 |
| RO | 证券交易 | 2015-04-22 | 2016-07-21 | |
| RO | 就机构融资提供意见 | 2015-01-12 | 2016-07-21 | |
| Rep | 就机构融资提供意见 | 2013-11-12 | 2015-01-12 | |
| Rep | 就证券提供意见 | 2013-04-10 | 2015-04-22 | |
| Rep | 证券交易 | 2013-04-10 | 2015-04-22 | |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 就机构融资提供意见 | 2010-01-08 | 2012-12-01 |
| Rep | 就证券提供意见 | 2010-01-08 | 2012-12-01 | |
| Rep | 证券交易 | 2008-10-10 | 2012-12-01 | |
| LEHMAN BROTHERS ASIA LIMITED | Rep | 就机构融资提供意见 | 2005-08-15 | 2005-12-07 |
| Rep | 证券交易 | 2005-08-15 | 2008-09-29 | |
| LEHMAN BROTHERS SECURITIES ASIA LIMITED | Rep | 证券交易 | 2005-08-15 | 2008-09-29 |