| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Huayu Securities Limited | RO | 就證券提供意見 | 2019-09-11 | 2021-04-30 |
| RO | 證券交易 | 2018-04-27 | 2021-04-30 | |
| KGI ASIA LIMITED | Rep | 證券交易 | 2017-10-03 | 2017-12-08 |
| Rep | 證券交易 | 2016-11-21 | 2017-10-02 | |
| CITIC Securities Brokerage (HK) Limited | RO | 證券交易 | 2011-11-30 | 2012-10-22 |
| Rep | 證券交易 | 2011-10-19 | 2011-11-30 | |
| CITIC Securities Futures (HK) Limited | Rep | 期貨合約交易 | 2011-10-19 | 2012-10-22 |
| PineBridge Investments Asia Limited | RO | 證券交易 | 2010-12-06 | 2011-04-30 |
| Rep | 證券交易 | 2009-04-03 | 2010-12-06 | |
| Rep | 就機構融資提供意見 | - | 2005-03-15 | |
| Rep | 就證券提供意見 | - | 2005-03-31 | |
| Rep | 提供資產管理 | - | 2011-04-30 |