| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SINOPAC SECURITIES (ASIA) LIMITED | Rep | 證券交易 | 2023-04-26 | - |
| PRESIDENT SECURITIES (HONG KONG) LIMITED | RO | 證券交易 | 2007-02-16 | 2023-04-03 |
| TIS SECURITIES (HK) LIMITED | Rep | 期貨合約交易 | 2006-04-06 | 2006-09-30 |
| RO | 就機構融資提供意見 | 2003-04-01 | 2003-12-30 | |
| RO | 就證券提供意見 | 2003-04-01 | 2003-12-30 | |
| RO | 提供自動化交易服務 | 2003-04-01 | 2003-12-30 | |
| RO | 提供資產管理 | 2003-04-01 | 2004-10-25 | |
| RO | 證券交易 | 2003-04-01 | 2006-09-30 |