| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| XinKong International Securities Limited | Rep | 期貨合約交易 | 2017-07-11 | 2018-08-31 |
| Rep | 證券交易 | 2017-07-11 | 2018-08-31 | |
| CITIC Securities Futures (HK) Limited | Rep | 期貨合約交易 | 2011-11-17 | 2016-07-29 |
| CITIC Securities Brokerage (HK) Limited | Rep | 證券交易 | 2005-01-24 | 2016-07-29 |
| CITIC Securities Futures (HK) Limited | Rep | 期貨合約交易 | 2005-01-24 | 2010-11-01 |
| Tung Shing Futures (Brokers) Limited | Rep | 期貨合約交易 | - | 2003-06-02 |
| Tung Shing Securities (Brokers) Limited | Rep | 就機構融資提供意見 | - | 2003-06-02 |
| Rep | 就證券提供意見 | - | 2003-06-02 | |
| Rep | 提供資產管理 | - | 2003-06-02 | |
| Rep | 證券交易 | - | 2003-06-02 |