| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| CITIC Securities Asset Management (HK) Limited | Rep | 证券交易 | 2015-02-10 | 2015-04-18 |
| Rep | 就证券提供意见 | 2014-02-10 | 2015-04-18 | |
| Rep | 提供资产管理 | 2014-02-10 | 2015-04-18 | |
| CLSA FUTURES LIMITED | Rep | 期货合约交易 | 2013-11-01 | 2013-11-26 |
| CLSA LIMITED | Rep | 证券交易 | 2013-11-01 | 2013-11-26 |
| CITIC Securities Brokerage (HK) Limited | Rep | 证券交易 | 2006-05-02 | 2013-10-31 |
| CITIC Securities Futures (HK) Limited | Rep | 期货合约交易 | 2006-05-02 | 2013-10-31 |