| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Hong Tai Securities Limited | RO | 就證券提供意見 | 2018-07-26 | - |
| RO | 提供資產管理 | 2017-08-04 | - | |
| RO | 證券交易 | 2017-08-04 | - | |
| HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | 就證券提供意見 | 2015-03-24 | 2016-12-01 |
| HSBC BROKING FOREX (ASIA) LIMITED | Rep | 槓桿式外匯交易 | 2013-03-01 | 2016-12-01 |
| HSBC BROKING FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2013-03-01 | 2016-12-01 |
| HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | 證券交易 | 2013-03-01 | 2016-12-01 |