| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CMB International Capital Limited | Rep | 就機構融資提供意見 | 2017-12-15 | 2020-01-21 |
| Rep | 證券交易 | 2017-12-15 | 2020-01-21 | |
| CMB International Securities Limited | Rep | 證券交易 | 2017-12-15 | 2020-01-21 |
| Swissquote Asia Limited | Rep | 槓桿式外匯交易 | 2016-04-20 | 2017-10-28 |
| GAIN CAPITAL - FOREX.COM HONG KONG LIMITED (TRADING AS FOREX.COM HONG KONG, FOREX.COM ASIA PACIFIC, GAIN CAPITAL FOREX) | Rep | 槓桿式外匯交易 | 2015-04-17 | 2016-04-01 |