| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Interactive Brokers Hong Kong Limited | Rep | 期貨合約交易 | 2021-12-03 | 2026-01-01 |
| Rep | 證券交易 | 2021-12-03 | 2026-01-01 | |
| Swiss-Asia Asset Management (HK) Limited | Rep | 提供資產管理 | 2020-10-19 | 2021-11-05 |
| Rep | 就證券提供意見 | 2020-09-25 | 2021-11-05 | |
| SBI Securities (Hong Kong) Limited | RO | 就證券提供意見 | 2019-01-09 | 2020-06-30 |
| RO | 證券交易 | 2018-08-16 | 2020-06-30 | |
| BNP PARIBAS SECURITIES (ASIA) LIMITED | RO | 證券交易 | 2017-11-30 | 2017-12-01 |
| Rep | 證券交易 | 2017-01-25 | 2017-11-30 | |
| Rep | 期貨合約交易 | 2017-01-25 | 2017-12-01 |