| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| BOCOM International Securities Limited | Rep | 期貨合約交易 | 2009-03-17 | - |
| Rep | 證券交易 | 2009-01-15 | - | |
| CITIC Securities Futures (HK) Limited | Rep | 期貨合約交易 | 2003-06-07 | 2008-01-29 |
| CITIC Securities Brokerage (HK) Limited | Rep | 就機構融資提供意見 | 2003-04-01 | 2003-04-28 |
| Rep | 提供資產管理 | 2003-04-01 | 2003-04-28 | |
| Rep | 提供自動化交易服務 | 2003-04-01 | 2004-03-11 | |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-10-06 | |
| Rep | 證券交易 | 2003-04-01 | 2009-01-10 |