| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| iCapital Advisory Limited | RO | 就證券提供意見 | 2018-12-10 | - |
| RO | 證券交易 | 2018-12-10 | 2020-11-02 | |
| Citigroup Global Markets Asia Limited | RO | 就證券提供意見 | 2014-07-11 | 2017-11-24 |
| RO | 證券交易 | 2014-07-11 | 2017-11-24 | |
| Rep | 期貨合約交易 | 2013-06-03 | 2017-11-24 | |
| Rep | 證券交易 | 2011-03-15 | 2014-07-11 | |
| CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | 期貨合約交易 | 2011-03-15 | 2013-08-31 |