| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| TP ICAP MARKETS (HONG KONG) LIMITED | Rep | 證券交易 | 2018-10-01 | 2018-10-11 |
| Rep | 證券交易 | 2016-01-05 | 2018-09-30 | |
| ICAP Equities Asia Limited | Rep | 證券交易 | 2015-05-29 | 2018-09-30 |
| GFI (HK) SECURITIES L.L.C. | Rep | 提供自動化交易服務 | 2011-11-23 | 2015-02-17 |
| Rep | 證券交易 | 2009-10-20 | 2015-02-17 | |
| Credit Agricole Securities (Asia) Limited | Rep | 就機構融資提供意見 | - | 2004-09-24 |
| Rep | 提供資產管理 | - | 2004-09-24 | |
| Rep | 就證券提供意見 | - | 2005-03-23 | |
| Rep | 證券交易 | - | 2006-08-23 | |
| RBS Asia Securities (Hong Kong) Limited | Rep | 就機構融資提供意見 | - | 2005-02-04 |
| Rep | 就證券提供意見 | - | 2005-02-04 | |
| Rep | 提供資產管理 | - | 2005-02-04 | |
| Rep | 證券交易 | - | 2005-02-04 |