| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| State Street Securities Hong Kong Limited | RO | 期貨合約交易 | 2015-12-02 | 2016-03-15 |
| RO | 證券交易 | 2015-12-02 | 2016-03-15 | |
| RBS Asia Futures Limited | RO | 期貨合約交易 | 2012-11-08 | 2014-03-31 |
| Parry International Trading Limited | RO | 證券交易 | 2011-12-01 | 2012-06-01 |
| UBS SECURITIES ASIA LIMITED | RO | 期貨合約交易 | 2010-10-15 | 2011-07-18 |
| UBS DERIVATIVES HONG KONG LIMITED | RO | 期貨合約交易 | 2010-06-22 | 2011-07-18 |
| UBS SECURITIES ASIA LIMITED | RO | 證券交易 | 2007-07-16 | 2011-07-18 |
| Rep | 證券交易 | 2007-04-23 | 2007-07-16 |