| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| HSBC BROKING SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2004-08-14 | 2011-04-01 |
| HSBC BROKING FUTURES (ASIA) LIMITED | Rep | 就期貨合約提供意見 | - | 2004-08-11 |
| Rep | 提供資產管理 | - | 2004-08-11 | |
| Rep | 期貨合約交易 | - | 2011-04-01 | |
| HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | 提供自動化交易服務 | - | 2003-09-02 |
| Rep | 就機構融資提供意見 | - | 2004-08-11 | |
| Rep | 就證券提供意見 | - | 2004-08-11 | |
| Rep | 提供資產管理 | - | 2004-08-11 | |
| Rep | 證券交易 | - | 2011-04-01 |