| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Wealth Link Securities Limited | Rep | 就證券提供意見 | 2024-09-11 | 2025-04-01 |
| Rep | 證券交易 | 2024-09-11 | 2025-04-01 | |
| Saxo Capital Markets HK Limited | Rep | 就證券提供意見 | 2022-04-01 | 2022-10-08 |
| Rep | 期貨合約交易 | 2022-04-01 | 2022-10-08 | |
| Rep | 證券交易 | 2022-04-01 | 2022-10-08 | |
| Rep | 槓桿式外匯交易 | 2022-04-01 | 2022-10-08 | |
| UOB KAY HIAN FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2021-05-14 | 2021-08-01 |
| UOB KAY HIAN (HONG KONG) LIMITED | Rep | 證券交易 | 2020-09-30 | 2021-08-01 |