| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| KGI ASIA LIMITED | Rep | 证券交易 | 2017-10-03 | - |
| Rep | 证券交易 | 2008-12-18 | 2017-10-02 | |
| KGI FUTURES (HONG KONG) LIMITED | Rep | 期货合约交易 | 2008-12-18 | - |
| CITIC Securities Brokerage (HK) Limited | Rep | 就机构融资提供意见 | 2003-04-01 | 2003-06-11 |
| Rep | 就证券提供意见 | 2003-04-01 | 2003-06-11 | |
| Rep | 提供资产管理 | 2003-04-01 | 2003-06-11 | |
| Rep | 提供自动化交易服务 | 2003-04-01 | 2004-03-11 | |
| Rep | 证券交易 | 2003-04-01 | 2008-12-08 | |
| CITIC Securities Futures (HK) Limited | Rep | 期货合约交易 | 2003-04-01 | 2008-12-08 |