| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| CITIC Securities Brokerage (HK) Limited | Rep | 证券交易 | 2007-09-10 | 2009-07-01 |
| CITIC Securities Futures (HK) Limited | Rep | 期货合约交易 | 2007-09-10 | 2009-07-01 |
| UOB KAY HIAN (HONG KONG) LIMITED | Rep | 就机构融资提供意见 | - | 2004-03-02 |
| Rep | 就证券提供意见 | - | 2004-03-02 | |
| Rep | 证券交易 | - | 2007-09-05 | |
| UOB KAY HIAN FUTURES (HONG KONG) LIMITED | Rep | 期货合约交易 | - | 2007-09-05 |