| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| RBC INVESTMENT SERVICES (ASIA) LIMITED | Rep | 期货合约交易 | 2008-10-10 | 2013-02-28 |
| Rep | 证券交易 | 2008-10-10 | 2013-02-28 | |
| CITIC Securities Futures (HK) Limited | Rep | 期货合约交易 | 2004-11-11 | 2008-09-16 |
| CITIC Securities Brokerage (HK) Limited | Rep | 证券交易 | 2004-11-01 | 2008-09-16 |
| DBS VICKERS (HONG KONG) LIMITED | Rep | 证券交易 | 2003-10-30 | 2004-08-12 |
| DBS VICKERS SECURITIES (HONG KONG) LIMITED DBS | Rep | 就机构融资提供意见 | - | 2003-10-21 |
| Rep | 就证券提供意见 | - | 2003-10-21 | |
| Rep | 提供资产管理 | - | 2003-10-21 | |
| Rep | 证券交易 | - | 2003-10-22 |