| 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 | 2009-01-06 | 2020-02-18 |
| Rep | 證券交易 | 2009-01-06 | 2024-02-09 | |
| PATTERSON FINANCIAL SERVICES LIMITED | Rep | 就證券提供意見 | 2006-05-15 | 2006-05-29 |
| CITIC Securities Brokerage (HK) Limited | Rep | 證券交易 | 2005-07-13 | 2006-04-24 |
| CITIC Securities Futures (HK) Limited | Rep | 期貨合約交易 | 2005-07-13 | 2006-04-24 |
| Tung Shing Futures (Brokers) Limited | Rep | 期貨合約交易 | - | 2005-07-08 |
| Tung Shing Securities (Brokers) Limited | Rep | 就機構融資提供意見 | - | 2004-01-10 |
| Rep | 就證券提供意見 | - | 2004-01-10 | |
| Rep | 提供資產管理 | - | 2004-01-10 | |
| Rep | 證券交易 | - | 2005-07-08 |