| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Rich Union Securities (H.K.) Limited | RO | 證券交易 | 2015-07-15 | 2022-06-07 |
| Rep | 證券交易 | 2012-03-30 | 2015-07-15 | |
| BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED | Rep | 期貨合約交易 | 2011-07-26 | 2011-09-22 |
| BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED | Rep | 證券交易 | 2011-07-26 | 2011-09-22 |
| HSBC BROKING FOREX (ASIA) LIMITED | Rep | 槓桿式外匯交易 | 2010-05-07 | 2011-04-02 |
| HSBC BROKING FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2010-03-12 | 2011-04-02 |
| HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | 證券交易 | 2010-03-12 | 2011-04-02 |