| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CITIC Securities International Global Markets Limited | RO | 期貨合約交易 | 2018-01-08 | - |
| RO | 就證券提供意見 | 2018-01-05 | - | |
| RO | 證券交易 | 2018-01-05 | - | |
| Rep | 就證券提供意見 | 2017-06-26 | 2018-01-05 | |
| Rep | 證券交易 | 2017-06-26 | 2018-01-05 | |
| Rep | 期貨合約交易 | 2017-06-26 | 2018-01-08 | |
| CITIC Securities Brokerage (HK) Limited | Rep | 證券交易 | 2013-06-26 | - |
| CITIC Securities Futures (HK) Limited | Rep | 期貨合約交易 | 2013-06-26 | 2017-06-25 |
| SG SECURITIES (HK) LIMITED | Rep | 證券交易 | 2012-01-18 | 2013-04-20 |
| BARCLAYS CAPITAL ASIA LIMITED | Rep | 證券交易 | 2006-07-27 | 2011-06-17 |
已採集記錄中暫無金管局登記。