| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 證券交易 | 2017-01-09 | 2017-08-31 |
| NOMURA SECURITIES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2010-02-03 | 2013-04-23 |
| Nomura Asia Investment (Hong Kong) Limited | Rep | 期貨合約交易 | 2004-01-30 | 2010-02-19 |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2004-01-30 | 2015-10-01 |
| Rep | 證券交易 | 2003-09-30 | 2015-10-01 | |
| Citigroup Global Markets Asia Limited | Rep | 就機構融資提供意見 | - | 2003-09-22 |
| Rep | 就證券提供意見 | - | 2003-09-22 | |
| Rep | 提供資產管理 | - | 2003-09-22 | |
| Rep | 提供自動化交易服務 | - | 2003-09-22 | |
| Rep | 證券交易 | - | 2003-09-29 |