| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | 期货合约交易 | 2005-07-19 | - |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 证券交易 | 2005-07-19 | - |
| CITIC Securities Futures (HK) Limited | Rep | 期货合约交易 | 2004-06-10 | 2005-07-14 |
| RO | 期货合约交易 | 2003-07-24 | 2004-06-10 | |
| CITIC Securities Brokerage (HK) Limited | Rep | 就机构融资提供意见 | 2003-04-01 | 2003-06-25 |
| Rep | 提供自动化交易服务 | 2003-04-01 | 2004-03-11 | |
| Rep | 就证券提供意见 | 2003-04-01 | 2005-07-14 | |
| Rep | 提供资产管理 | 2003-04-01 | 2005-07-14 | |
| Rep | 证券交易 | 2003-04-01 | 2005-07-14 | |
| CITIC Securities Futures (HK) Limited | Rep | 期货合约交易 | 2003-04-01 | 2003-07-24 |