| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| BTIG Hong Kong Limited | Rep | 證券交易 | 2021-05-18 | - |
| RO | 證券交易 | 2014-06-09 | 2021-05-18 | |
| Rep | 證券交易 | 2014-05-14 | 2014-06-09 | |
| EXECUTION NOBLE (HONG KONG) LIMITED (TRADING AS ESPIRITO SANTO SECURITIES) | RO | 證券交易 | 2005-10-10 | 2014-04-30 |
| BEAR STEARNS ASIA LIMITED | RO | 就機構融資提供意見 | 2003-04-01 | 2004-12-11 |
| RO | 就證券提供意見 | 2003-04-01 | 2004-12-11 | |
| RO | 提供資產管理 | 2003-04-01 | 2004-12-11 | |
| RO | 提供自動化交易服務 | 2003-04-01 | 2004-12-11 | |
| RO | 證券交易 | 2003-04-01 | 2004-12-11 | |
| BEAR STEARNS HONG KONG LIMITED | Rep | 就期貨合約提供意見 | 2003-04-01 | 2004-12-11 |
| Rep | 提供資產管理 | 2003-04-01 | 2004-12-11 | |
| Rep | 期貨合約交易 | 2003-04-01 | 2004-12-11 |