| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Citigroup Global Markets Asia Limited | RO | 提供自動化交易服務 | 2009-11-03 | 2013-06-01 |
| RO | 證券交易 | 2009-11-03 | 2013-06-01 | |
| CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | 期貨合約交易 | 2009-11-03 | 2013-06-01 |
| RO | 證券交易 | 2009-11-03 | 2013-06-01 | |
| Citigroup Global Markets Asia Limited | RO | 就證券提供意見 | 2005-07-18 | 2013-06-01 |
| Rep | 就證券提供意見 | 2005-05-23 | 2005-07-18 | |
| MACQUARIE CAPITAL LIMITED | RO | 就證券提供意見 | 2004-03-17 | 2005-04-25 |
| Rep | 就機構融資提供意見 | - | 2004-01-13 | |
| Rep | 提供資產管理 | - | 2004-01-13 | |
| Rep | 證券交易 | - | 2004-01-13 | |
| Rep | 就證券提供意見 | - | 2004-03-17 |