| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| HSBC BROKING FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2011-08-30 | 2014-08-22 |
| HSBC BROKING FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2011-08-30 | 2014-08-22 |
| HSBC BROKING (CHINA) LIMITED | Rep | 證券交易 | 2011-06-23 | 2012-08-14 |
| HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | 證券交易 | 2011-06-23 | 2014-08-22 |
| HSBC BROKING SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2011-06-23 | 2014-08-22 |
| UOB KAY HIAN (HONG KONG) LIMITED | Rep | 證券交易 | 2010-06-10 | 2011-06-15 |
| ROCTEC SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2009-11-06 | 2009-11-25 |