| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Cheung On Securities Limited | RO | 就證券提供意見 | 2018-07-20 | - |
| RO | 證券交易 | 2018-07-20 | 2021-11-19 | |
| China Renaissance Securities (Hong Kong) Limited | Rep | 證券交易 | 2016-08-26 | 2017-07-04 |
| CITIC Securities Brokerage (HK) Limited | Rep | 證券交易 | 2015-10-28 | 2016-07-31 |
| RO | 證券交易 | 2011-05-18 | 2015-10-28 | |
| Rep | 證券交易 | 2011-04-01 | 2011-05-18 | |
| CICC US Securities, Inc. | RO | 證券交易 | 2009-07-07 | 2011-03-31 |