| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| CITIC Securities Brokerage (HK) Limited | RO | 就证券提供意见 | 2011-03-03 | 2014-04-02 |
| RO | 证券交易 | 2011-03-03 | 2014-04-02 | |
| CITIC Securities Futures (HK) Limited | Rep | 期货合约交易 | 2011-03-03 | 2014-04-02 |
| CITIC Securities Brokerage (HK) Limited | Rep | 就证券提供意见 | 2010-11-22 | 2011-03-03 |
| Rep | 证券交易 | 2010-11-22 | 2011-03-03 | |
| BANK CONSORTIUM TRUST COMPANY LIMITED | RO | 就证券提供意见 | 2007-11-09 | 2010-10-31 |
| RO | 证券交易 | 2007-11-09 | 2010-10-31 |