| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| China Securities (International) Brokerage Company Limited | Rep | 就证券提供意见 | 2014-02-14 | 2014-04-01 |
| Rep | 证券交易 | 2013-05-28 | 2014-04-01 | |
| UBS SECURITIES ASIA LIMITED | Rep | 期货合约交易 | 2010-09-06 | 2012-03-31 |
| Rep | 证券交易 | 2010-09-06 | 2012-03-31 | |
| DEUTSCHE SECURITIES ASIA LIMITED | Rep | 证券交易 | 2007-03-05 | 2008-01-17 |
| J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | 就机构融资提供意见 | - | 2003-12-02 |
| Rep | 提供资产管理 | - | 2003-12-02 | |
| Rep | 提供自动化交易服务 | - | 2003-12-02 | |
| Rep | 就证券提供意见 | - | 2007-01-31 | |
| Rep | 证券交易 | - | 2007-01-31 |