| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| BALLINGAL INVESTMENT ADVISORS LIMITED | Rep | 就證券提供意見 | 2017-01-16 | - |
| BGC SECURITIES (HONG KONG) LLC | Rep | 證券交易 | 2012-11-02 | 2016-09-07 |
| Knight Capital Asia Limited | Rep | 就證券提供意見 | 2010-09-09 | 2011-08-04 |
| Rep | 證券交易 | 2010-09-09 | 2011-08-04 | |
| MF Securities Hong Kong Limited | Rep | 證券交易 | 2008-06-17 | 2010-07-12 |
| Rep | 就證券提供意見 | 2008-04-07 | 2010-07-12 | |
| MIB SECURITIES (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2006-05-02 | 2008-03-25 |
| SINOPAC SECURITIES (ASIA) LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-01-20 |
| Rep | 提供資產管理 | 2003-04-01 | 2004-01-20 | |
| Rep | 就證券提供意見 | 2003-04-01 | 2006-01-26 |