| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| BOCOM International Securities Limited | Rep | 期货合约交易 | 2009-01-06 | 2020-02-18 |
| Rep | 证券交易 | 2009-01-06 | 2024-02-09 | |
| PATTERSON FINANCIAL SERVICES LIMITED | Rep | 就证券提供意见 | 2006-05-15 | 2006-05-29 |
| CITIC Securities Brokerage (HK) Limited | Rep | 证券交易 | 2005-07-13 | 2006-04-24 |
| CITIC Securities Futures (HK) Limited | Rep | 期货合约交易 | 2005-07-13 | 2006-04-24 |
| Tung Shing Futures (Brokers) Limited | Rep | 期货合约交易 | - | 2005-07-08 |
| Tung Shing Securities (Brokers) Limited | Rep | 就机构融资提供意见 | - | 2004-01-10 |
| Rep | 就证券提供意见 | - | 2004-01-10 | |
| Rep | 提供资产管理 | - | 2004-01-10 | |
| Rep | 证券交易 | - | 2005-07-08 |