| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | 期貨合約交易 | 2004-09-28 | 2012-11-16 |
| Citigroup Global Markets Asia Limited | Rep | 證券交易 | 2003-04-22 | 2012-11-16 |
| Soo Pei Shao & Company | Rep | 就機構融資提供意見 | - | 2003-04-11 |
| Rep | 就證券提供意見 | - | 2003-04-11 | |
| Rep | 提供資產管理 | - | 2003-04-11 | |
| Rep | 證券交易 | - | 2003-04-11 |