| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Rifa Securities Limited | Rep | 證券交易 | 2016-10-20 | - |
| GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED | Rep | 證券交易 | 2016-05-06 | 2016-10-04 |
| BOCOM International Securities Limited | Rep | 證券交易 | 2007-09-12 | 2016-04-28 |
| BOCOM International Holdings Company Limited | Rep | 證券交易 | 2006-06-03 | 2008-03-03 |
| CVP Securities Limited | Rep | 證券交易 | 2004-07-19 | 2006-06-01 |
| GLOBAL CREDIT SECURITIES LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2003-08-20 |
| Rep | 就證券提供意見 | 2003-04-01 | 2003-08-20 | |
| Rep | 提供資產管理 | 2003-04-01 | 2003-08-20 | |
| Rep | 證券交易 | 2003-04-01 | 2004-05-07 |