| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CITIC Securities Asset Management (HK) Limited | Rep | 證券交易 | 2015-02-10 | 2017-06-30 |
| Rep | 就證券提供意見 | 2013-11-04 | 2017-06-30 | |
| Rep | 提供資產管理 | 2013-11-04 | 2017-06-30 | |
| HSBC SECURITIES BROKERS (ASIA) LIMITED | Rep | 證券交易 | 2009-05-04 | 2012-04-03 |
| HSBC SECURITIES (ASIA) LIMITED | Rep | 就機構融資提供意見 | - | 2003-12-16 |
| Rep | 就證券提供意見 | - | 2003-12-16 | |
| Rep | 提供資產管理 | - | 2003-12-16 | |
| Rep | 證券交易 | - | 2012-04-03 |