| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Daiwa Capital Markets Hong Kong Limited | RO | 就機構融資提供意見 | 2011-06-20 | 2025-05-02 |
| RO | 就證券提供意見 | 2011-06-20 | 2025-05-02 | |
| RO | 期貨合約交易 | 2011-06-20 | 2025-05-02 | |
| RO | 證券交易 | 2011-06-20 | 2025-05-02 | |
| DAIWA CAPITAL MARKETS TRADING HONG KONG LIMITED | RO | 期貨合約交易 | 2011-06-20 | 2016-03-31 |
| RO | 證券交易 | 2011-06-20 | 2016-03-31 | |
| DAIWA INSTITUTE OF RESEARCH (HONG KONG) LIMITED | RO | 就證券提供意見 | 2011-06-20 | 2012-06-04 |