| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | 就證券提供意見 | 2015-03-23 | 2017-12-12 |
| HSBC BROKING FOREX (ASIA) LIMITED | Rep | 槓桿式外匯交易 | 2014-11-19 | 2017-12-12 |
| HSBC BROKING FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2014-11-19 | 2017-12-12 |
| HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | 證券交易 | 2014-11-19 | 2017-12-12 |
| BOCI SECURITIES LIMITED | Rep | 槓桿式外匯交易 | 2013-02-04 | 2014-08-23 |
| Rep | 期貨合約交易 | 2011-05-19 | 2014-08-23 | |
| Rep | 就證券提供意見 | 2011-04-01 | 2011-10-03 | |
| Rep | 證券交易 | 2011-04-01 | 2014-08-23 | |
| CAIIS Limited | Rep | 就證券提供意見 | 2009-02-16 | 2009-12-16 |
| Rep | 證券交易 | 2009-02-16 | 2009-12-16 |