| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Global Prime Partners (Asia) Limited | RO | 期貨合約交易 | 2016-04-22 | - |
| RO | 證券交易 | 2015-08-05 | - | |
| PUREHEART CAPITAL ASIA LIMITED | Rep | 證券交易 | 2013-09-12 | 2014-03-19 |
| Newedge Broker Hong Kong Limited | Rep | 期貨合約交易 | 2011-06-30 | 2013-04-04 |
| SG Asset Finance (Hong Kong) Limited | Rep | 期貨合約交易 | 2011-06-30 | 2013-04-04 |
| Rep | 證券交易 | 2011-06-30 | 2013-04-04 | |
| MIZUHO SECURITIES ASIA LIMITED | Rep | 就證券提供意見 | 2011-02-10 | 2011-03-30 |
| Rep | 證券交易 | 2011-02-10 | 2011-03-30 | |
| UBS SECURITIES ASIA LIMITED | Rep | 證券交易 | 2004-07-16 | 2010-05-15 |