| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Bengal Asset Management Limited | RO | 提供資產管理 | 2015-01-14 | 2021-11-01 |
| Tora Trading Services Limited (HK) | Rep | 提供自動化交易服務 | 2010-06-04 | 2012-02-29 |
| Rep | 期貨合約交易 | 2010-06-04 | 2012-02-29 | |
| Rep | 證券交易 | 2010-06-04 | 2012-02-29 | |
| Morgan Stanley Asia Limited | Rep | 就機構融資提供意見 | - | 2004-02-11 |
| Rep | 就證券提供意見 | - | 2004-02-11 | |
| Rep | 提供自動化交易服務 | - | 2006-01-14 | |
| Rep | 證券交易 | - | 2006-01-14 | |
| Morgan Stanley Hong Kong Futures Limited | Rep | 提供自動化交易服務 | - | 2006-01-14 |
| Rep | 期貨合約交易 | - | 2006-01-14 |