| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Asia Pacific Financial Capital Limited | Rep | 就機構融資提供意見 | 2007-04-19 | 2007-07-17 |
| CITIC Securities Brokerage (HK) Limited | Rep | 就機構融資提供意見 | - | 2004-03-11 |
| Rep | 提供自動化交易服務 | - | 2004-03-11 | |
| Rep | 就證券提供意見 | - | 2004-04-28 | |
| Rep | 提供資產管理 | - | 2004-04-28 | |
| Rep | 證券交易 | - | 2004-09-24 | |
| CITIC Securities Futures (HK) Limited | Rep | 期貨合約交易 | - | 2004-09-24 |