| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| BNP PARIBAS SECURITIES (ASIA) LIMITED | RO | 提供自動化交易服務 | 2009-10-15 | 2015-11-30 |
| RO | 就證券提供意見 | 2006-09-19 | 2018-06-30 | |
| RO | 證券交易 | 2006-09-19 | 2018-06-30 | |
| Rep | 證券交易 | 2005-08-22 | 2006-09-19 | |
| SG Asset Finance (Hong Kong) Limited | RO | 期貨合約交易 | 2003-10-02 | 2005-07-30 |
| CREDIT AGRICOLE INDOSUEZ CHEUVREUX SECURITIES (HONG KONG) LIMITED | RO | 證券交易 | - | 2003-09-30 |
| Newedge Broker Hong Kong Limited | RO | 提供自動化交易服務 | - | 2003-07-09 |
| RO | 期貨合約交易 | - | 2005-07-30 | |
| SG Asset Finance (Hong Kong) Limited | RO | 提供自動化交易服務 | - | 2003-07-09 |
| RO | 證券交易 | - | 2005-07-30 |