| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| JS SECURITIES LIMITED (HK) | RO | 证券交易 | 2011-01-20 | 2013-12-31 |
| Kaiser KT Capital Limited | RO | 就机构融资提供意见 | 2008-10-03 | 2014-02-06 |
| IAM LEGACY LIMITED | RO | 就证券提供意见 | 2007-08-21 | - |
| RO | 提供资产管理 | 2007-08-21 | - | |
| CITIC Securities Brokerage (HK) Limited | RO | 就证券提供意见 | 2003-08-05 | 2006-04-24 |
| RO | 提供资产管理 | 2003-08-05 | 2006-04-24 | |
| CITIC Securities Futures (HK) Limited | RO | 期货合约交易 | 2003-08-05 | 2006-04-24 |
| Rep | 期货合约交易 | 2003-06-06 | 2003-08-05 | |
| CITIC Securities Brokerage (HK) Limited | RO | 提供自动化交易服务 | 2003-04-01 | 2004-03-11 |
| RO | 证券交易 | 2003-04-01 | 2006-04-24 |