| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CHARTWELL CAPITAL LIMITED (HK) | Rep | 就證券提供意見 | 2019-07-03 | 2019-12-31 |
| Rep | 提供資產管理 | 2019-07-03 | 2019-12-31 | |
| RO | 就證券提供意見 | 2008-11-21 | 2019-07-03 | |
| RO | 提供資產管理 | 2008-02-05 | 2019-07-03 | |
| HSBC BROKING FOREX (ASIA) LIMITED | Rep | 槓桿式外匯交易 | 2004-09-02 | 2006-09-01 |
| HSBC BROKING FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2004-04-27 | 2006-09-01 |
| HSBC BROKING FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2004-04-27 | 2006-09-01 |
| HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | 證券交易 | 2004-04-27 | 2006-09-01 |