| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Credit Suisse (Hong Kong) Limited | RO | 證券交易 | 2016-04-27 | 2017-08-23 |
| Rep | 期貨合約交易 | 2015-12-21 | 2017-08-23 | |
| Credit Suisse Securities (Hong Kong) Limited | Rep | 證券交易 | 2015-12-21 | 2017-08-23 |
| Credit Suisse (Hong Kong) Limited | Rep | 證券交易 | 2008-04-29 | 2016-04-27 |
| Credit Suisse Securities (Hong Kong) Limited | Rep | 證券交易 | 2008-04-29 | 2013-10-30 |
| BOCI RESEARCH LIMITED | Rep | 就機構融資提供意見 | - | 2003-04-10 |
| Rep | 就證券提供意見 | - | 2003-04-10 |