| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| BOCI SECURITIES LIMITED | Rep | 就證券提供意見 | 2018-09-06 | - |
| Rep | 期貨合約交易 | 2014-01-20 | - | |
| Rep | 證券交易 | 2014-01-20 | - | |
| Rep | 槓桿式外匯交易 | 2014-01-20 | 2014-11-27 | |
| HSBC BROKING FOREX (ASIA) LIMITED | Rep | 槓桿式外匯交易 | 2003-04-01 | 2013-12-06 |
| HSBC BROKING FUTURES (ASIA) LIMITED | Rep | 就期貨合約提供意見 | 2003-04-01 | 2004-08-04 |
| Rep | 提供資產管理 | 2003-04-01 | 2004-08-04 | |
| Rep | 期貨合約交易 | 2003-04-01 | 2013-12-06 | |
| HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | 提供自動化交易服務 | 2003-04-01 | 2003-09-02 |
| Rep | 就機構融資提供意見 | 2003-04-01 | 2004-08-04 | |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-08-04 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-08-04 | |
| Rep | 證券交易 | 2003-04-01 | 2013-12-06 |