| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Leonteq Securities (Hong Kong) Limited | RO | 就證券提供意見 | 2019-07-26 | 2020-08-05 |
| RO | 證券交易 | 2019-07-26 | 2020-08-05 | |
| Rep | 就證券提供意見 | 2018-10-18 | 2019-07-26 | |
| Rep | 證券交易 | 2018-10-18 | 2019-07-26 | |
| Beijing Securities Limited | Rep | 證券交易 | 2009-03-20 | 2009-05-01 |
| CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | 期貨合約交易 | 2007-11-13 | 2008-11-21 |
| Citigroup Global Markets Asia Limited | Rep | 證券交易 | 2007-10-17 | 2008-11-21 |
| KBC FINANCIAL PRODUCTS HONG KONG LIMITED | Rep | 證券交易 | 2006-08-25 | 2007-10-09 |