| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| KCG Hong Kong Limited | RO | 期貨合約交易 | 2012-05-14 | 2013-03-25 |
| RO | 證券交易 | 2012-05-14 | 2013-03-25 | |
| Credit Suisse Securities (Hong Kong) Limited | Rep | 證券交易 | 2010-10-11 | 2011-07-01 |
| Credit Suisse (Hong Kong) Limited | Rep | 提供自動化交易服務 | 2008-11-11 | 2011-07-01 |
| Rep | 期貨合約交易 | 2008-11-11 | 2011-07-01 | |
| Rep | 證券交易 | 2005-12-13 | 2011-07-01 | |
| Credit Suisse Futures (Hong Kong) Limited | Rep | 提供自動化交易服務 | 2005-12-13 | 2008-11-24 |
| Rep | 期貨合約交易 | 2005-12-13 | 2008-11-24 | |
| ETRADE SECURITIES (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2003-05-13 | 2004-02-03 |