| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Jefferies Hong Kong Limited | Rep | 期貨合約交易 | 2015-01-07 | 2015-08-31 |
| Rep | 證券交易 | 2015-01-07 | 2022-06-30 | |
| SMBC NIKKO SECURITIES (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2013-10-21 | 2014-12-03 |
| Rep | 證券交易 | 2013-10-21 | 2014-12-03 | |
| Nomura Asia Investment (Hong Kong) Limited | Rep | 期貨合約交易 | 2005-12-07 | 2007-08-04 |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2005-12-07 | 2012-09-25 |
| Rep | 證券交易 | 2003-10-06 | 2012-09-25 | |
| MACQUARIE CAPITAL LIMITED | Rep | 就機構融資提供意見 | - | 2003-08-11 |
| Rep | 就證券提供意見 | - | 2003-08-11 | |
| Rep | 提供資產管理 | - | 2003-08-11 | |
| Rep | 提供自動化交易服務 | - | 2003-10-03 | |
| Rep | 證券交易 | - | 2003-10-03 |