| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| Hong Kong Huijin Securities Limited | RO | 就证券提供意见 | 2018-05-23 | 2018-11-06 |
| RO | 证券交易 | 2018-05-23 | 2018-11-06 | |
| Lapland Securities Limited | Rep | 就证券提供意见 | 2017-06-23 | 2018-04-23 |
| Rep | 证券交易 | 2017-06-23 | 2018-04-23 | |
| Prime China Securities Limited | RO | 就证券提供意见 | 2016-09-02 | 2017-06-15 |
| RO | 证券交易 | 2016-09-02 | 2017-06-15 | |
| CIS SECURITIES ASSET MANAGEMENT LIMITED | Rep | 证券交易 | 2012-06-29 | 2014-03-21 |
| IMPERIUM INTERNATIONAL SECURITIES LIMITED | Rep | 证券交易 | 2010-10-06 | 2012-03-02 |
| CHIEF SECURITIES LIMITED | Rep | 证券交易 | 2004-03-25 | 2010-10-01 |