| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SoFi Securities (Hong Kong) Limited | RO | 就證券提供意見 | 2024-09-20 | 2025-05-05 |
| RO | 證券交易 | 2024-09-20 | 2025-05-05 | |
| RO | 就證券提供意見 | 2015-12-01 | 2022-11-30 | |
| RO | 證券交易 | 2011-12-22 | 2022-11-30 | |
| ETRADE SECURITIES (HONG KONG) LIMITED | RO | 就證券提供意見 | 2007-11-30 | 2010-09-14 |
| RO | 證券交易 | 2007-11-30 | 2010-09-14 | |
| RO | 槓桿式外匯交易 | 2007-11-30 | 2010-09-14 | |
| Rep | 就證券提供意見 | 2005-09-29 | 2007-11-30 | |
| Rep | 證券交易 | 2004-12-08 | 2007-11-30 | |
| Rep | 槓桿式外匯交易 | 2004-12-08 | 2007-11-30 |