| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| UOB KAY HIAN (HONG KONG) LIMITED | Rep | 證券交易 | 2013-12-30 | - |
| UOB KAY HIAN FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2013-12-30 | - |
| HSBC BROKING FOREX (ASIA) LIMITED | Rep | 槓桿式外匯交易 | 2010-07-21 | 2013-12-16 |
| HSBC BROKING FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2010-07-21 | 2013-12-16 |
| HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | 證券交易 | 2010-07-21 | 2013-12-16 |
| PLATINUM SECURITIES COMPANY LIMITED | Rep | 就機構融資提供意見 | 2006-07-10 | 2006-07-20 |
| Rep | 證券交易 | 2006-07-10 | 2006-07-20 |
已採集記錄中暫無金管局登記。