| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CITIC Securities Brokerage (HK) Limited | Rep | 就證券提供意見 | 2021-03-05 | - |
| CITIC Securities Futures (HK) Limited | Rep | 期貨合約交易 | 2021-03-05 | - |
| CITIC Securities Brokerage (HK) Limited | Rep | 證券交易 | 2021-02-04 | - |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2020-10-15 | 2020-12-31 |
| SPDB International Capital Limited | Rep | 就機構融資提供意見 | 2018-12-28 | 2020-07-19 |
| Rep | 證券交易 | 2018-12-28 | 2020-07-19 |