| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| Huayu Securities Limited | RO | 就证券提供意见 | 2019-09-11 | 2021-04-30 |
| RO | 证券交易 | 2018-04-27 | 2021-04-30 | |
| KGI ASIA LIMITED | Rep | 证券交易 | 2017-10-03 | 2017-12-08 |
| Rep | 证券交易 | 2016-11-21 | 2017-10-02 | |
| CITIC Securities Brokerage (HK) Limited | RO | 证券交易 | 2011-11-30 | 2012-10-22 |
| Rep | 证券交易 | 2011-10-19 | 2011-11-30 | |
| CITIC Securities Futures (HK) Limited | Rep | 期货合约交易 | 2011-10-19 | 2012-10-22 |
| PineBridge Investments Asia Limited | RO | 证券交易 | 2010-12-06 | 2011-04-30 |
| Rep | 证券交易 | 2009-04-03 | 2010-12-06 | |
| Rep | 就机构融资提供意见 | - | 2005-03-15 | |
| Rep | 就证券提供意见 | - | 2005-03-31 | |
| Rep | 提供资产管理 | - | 2011-04-30 |