| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| CITIC Securities (Hong Kong) Limited | RO | 就机构融资提供意见 | 2022-05-17 | - |
| Rep | 就证券提供意见 | 2022-01-28 | - | |
| Rep | 就机构融资提供意见 | 2022-01-28 | 2022-05-17 | |
| CLSA LIMITED | Rep | 证券交易 | 2022-01-28 | - |
| ZHONGTAI INTERNATIONAL CAPITAL LIMITED | RO | 就机构融资提供意见 | 2019-05-14 | 2022-01-13 |
| Rep | 就机构融资提供意见 | 2019-02-18 | 2019-05-14 | |
| FIRST SHANGHAI CAPITAL LIMITED | RO | 就机构融资提供意见 | 2014-11-12 | 2019-01-22 |
| Rep | 就机构融资提供意见 | 2012-10-10 | 2014-11-12 | |
| FIRST SHANGHAI SECURITIES LIMITED | Rep | 就机构融资提供意见 | 2012-09-26 | 2012-09-26 |
| PIPER JAFFRAY ASIA LIMITED | Rep | 就机构融资提供意见 | 2011-07-22 | 2012-08-25 |
| ABCI CAPITAL LIMITED | Rep | 就机构融资提供意见 | 2011-03-31 | 2011-07-08 |
| Rep | 证券交易 | 2011-03-31 | 2011-07-08 | |
| KGI CAPITAL ASIA LIMITED | Rep | 就证券提供意见 | 2008-01-21 | 2011-03-11 |
| Rep | 证券交易 | 2008-01-21 | 2011-03-11 | |
| Rep | 就机构融资提供意见 | 2007-08-31 | 2011-03-11 |
已采集记录中暂无金管局登记。