| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| EXECUTION NOBLE (HONG KONG) LIMITED (TRADING AS ESPIRITO SANTO SECURITIES) | Rep | 證券交易 | 2007-03-07 | 2008-11-04 |
| Newedge Broker Limited | Rep | 期貨合約交易 | 2005-01-21 | 2005-03-11 |
| Rep | 提供自動化交易服務 | 2005-01-21 | 2006-07-13 | |
| Rep | 證券交易 | 2005-01-21 | 2006-07-13 | |
| SG Asset Finance (Hong Kong) Limited | Rep | 就機構融資提供意見 | - | 2003-06-12 |
| Rep | 就證券提供意見 | - | 2003-06-12 | |
| Rep | 提供資產管理 | - | 2003-06-12 | |
| Rep | 提供自動化交易服務 | - | 2003-06-13 | |
| Rep | 證券交易 | - | 2003-06-13 |