| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Guosen Securities (HK) Brokerage Company, Limited | Rep | 就期貨合約提供意見 | 2015-06-02 | 2016-06-08 |
| Rep | 就證券提供意見 | 2015-06-02 | 2016-06-08 | |
| Rep | 期貨合約交易 | 2015-05-06 | 2016-06-08 | |
| Rep | 證券交易 | 2015-05-06 | 2016-06-08 | |
| Saxo Capital Markets HK Limited | Rep | 期貨合約交易 | 2014-12-19 | 2015-01-06 |
| Rep | 證券交易 | 2014-12-19 | 2015-01-06 | |
| Rep | 槓桿式外匯交易 | 2014-12-19 | 2015-01-06 | |
| Interactive Brokers LLC | Rep | 槓桿式外匯交易 | 2013-10-24 | 2014-08-09 |
| Rep | 期貨合約交易 | 2013-09-10 | 2014-08-09 | |
| Rep | 證券交易 | 2013-07-02 | 2014-08-09 |