| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | RO | 就证券提供意见 | 2020-12-02 | - |
| RO | 证券交易 | 2020-12-02 | - | |
| Rep | 期货合约交易 | 2020-09-29 | - | |
| Rep | 就证券提供意见 | 2019-10-22 | 2020-12-02 | |
| Rep | 证券交易 | 2019-10-22 | 2020-12-02 | |
| CITIC Securities International Global Markets Limited | Rep | 证券交易 | 2017-06-26 | 2019-04-24 |
| CITIC Securities Brokerage (HK) Limited | Rep | 证券交易 | 2016-09-26 | 2017-06-25 |
| J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | 就期货合约提供意见 | 2014-04-02 | 2016-05-30 |
| Rep | 期货合约交易 | 2014-04-02 | 2016-05-30 |