| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| YRD Asset Management Limited | Rep | 就证券提供意见 | 2020-05-18 | 2021-07-01 |
| Rep | 提供资产管理 | 2020-05-18 | 2021-07-01 | |
| Rep | 证券交易 | 2020-05-18 | 2021-07-01 | |
| CITIC Securities Futures (HK) Limited | Rep | 期货合约交易 | 2011-11-24 | 2012-06-01 |
| CITIC Securities Brokerage (HK) Limited | Rep | 证券交易 | 2010-06-11 | 2012-06-01 |
| OPEN ASSET MANAGEMENT LIMITED | RO | 就证券提供意见 | 2008-04-01 | 2008-10-22 |
| Open Securities Limited | RO | 就证券提供意见 | 2008-04-01 | 2008-10-22 |
| RO | 证券交易 | 2006-09-29 | 2008-10-22 | |
| Rep | 就机构融资提供意见 | - | 2004-05-07 | |
| Rep | 就证券提供意见 | - | 2004-05-07 | |
| Rep | 提供资产管理 | - | 2004-05-07 | |
| Rep | 证券交易 | - | 2006-09-29 |