| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| BOCI SECURITIES LIMITED | Rep | 就證券提供意見 | 2021-03-02 | - |
| Rep | 槓桿式外匯交易 | 2012-10-26 | 2014-11-26 | |
| Rep | 期貨合約交易 | 2007-02-12 | - | |
| Rep | 證券交易 | 2006-05-22 | - | |
| TSE'S SECURITIES LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-06-25 |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-06-25 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-06-25 | |
| Rep | 證券交易 | 2003-04-01 | 2006-05-12 |