| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Vantage Capital Markets HK Limited | Rep | 期貨合約交易 | 2012-10-10 | 2014-03-28 |
| Rep | 證券交易 | 2012-10-10 | 2014-03-28 | |
| GFI (HK) SECURITIES L.L.C. | Rep | 提供自動化交易服務 | 2012-02-02 | 2012-09-14 |
| Rep | 證券交易 | 2004-11-19 | 2012-09-14 | |
| Credit Agricole Securities (Asia) Limited | Rep | 就機構融資提供意見 | - | 2003-05-29 |
| Rep | 就證券提供意見 | - | 2003-05-29 | |
| Rep | 提供資產管理 | - | 2003-05-29 |