| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CTI Capital Hong Kong Limited | Rep | 就證券提供意見 | 2016-08-15 | 2026-08-01 |
| RO | 證券交易 | 2016-07-11 | 2026-08-01 | |
| Rep | 提供資產管理 | 2015-11-19 | 2026-08-01 | |
| Alphamax Asset Management (HK) Limited | Rep | 提供資產管理 | 2014-11-13 | 2015-11-13 |
| China Vered Securities Limited | Rep | 證券交易 | 2014-07-17 | 2014-10-31 |
| HSBC SECURITIES BROKERS (ASIA) LIMITED | Rep | 證券交易 | 2007-08-22 | 2014-04-26 |