| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| CITIC Securities Brokerage (HK) Limited | Rep | 证券交易 | 2007-09-20 | - |
| CITIC Securities Futures (HK) Limited | Rep | 期货合约交易 | 2006-03-31 | - |
| UNI-ALPHA FUTURES LIMITED | Rep | 就期货合约提供意见 | 2003-04-01 | 2004-10-05 |
| Rep | 提供资产管理 | 2003-04-01 | 2004-10-05 | |
| Rep | 期货合约交易 | 2003-04-01 | 2006-01-27 |