| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| BOCI SECURITIES LIMITED | Rep | 槓桿式外匯交易 | 2011-05-03 | 2014-11-24 |
| Rep | 期貨合約交易 | 2006-06-28 | - | |
| Rep | 證券交易 | 2006-06-28 | - | |
| EAST ASIA SECURITIES COMPANY LIMITED | Rep | 提供自動化交易服務 | 2003-04-01 | 2003-08-26 |
| Rep | 就機構融資提供意見 | 2003-04-01 | 2003-12-22 | |
| Rep | 就證券提供意見 | 2003-04-01 | 2003-12-22 | |
| Rep | 提供資產管理 | 2003-04-01 | 2003-12-22 | |
| Rep | 證券交易 | 2003-04-01 | 2006-06-24 |