| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CITIC Securities Brokerage (HK) Limited | Rep | 證券交易 | 2014-02-28 | 2015-05-08 |
| CITIC Securities Futures (HK) Limited | Rep | 期貨合約交易 | 2014-02-28 | 2015-05-08 |
| CCB INTERNATIONAL CAPITAL LIMITED | Rep | 就機構融資提供意見 | 2011-03-28 | 2014-01-19 |
| Rep | 證券交易 | 2011-03-28 | 2014-01-19 |