| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| BOCOM International Holdings Company Limited | Rep | 證券交易 | 2004-04-17 | 2007-05-17 |
| CITIC Securities Futures (HK) Limited | Rep | 期貨合約交易 | 2003-07-29 | 2004-03-20 |
| CITIC Securities Brokerage (HK) Limited | Rep | 就機構融資提供意見 | - | 2003-05-20 |
| Rep | 就證券提供意見 | - | 2003-05-20 | |
| Rep | 提供資產管理 | - | 2003-05-20 | |
| Rep | 提供自動化交易服務 | - | 2004-03-11 | |
| Rep | 證券交易 | - | 2004-03-20 |