| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| ONE CHINA SECURITIES LIMITED | Rep | 證券交易 | 2014-05-22 | 2015-07-10 |
| CGS International Securities Hong Kong Limited | Rep | 證券交易 | 2012-10-04 | 2014-02-12 |
| MIZUHO SECURITIES ASIA LIMITED | Rep | 就證券提供意見 | 2012-03-05 | 2012-09-12 |
| Rep | 證券交易 | 2012-03-05 | 2012-09-12 | |
| SAMSUNG SECURITIES (ASIA) LIMITED | Rep | 就證券提供意見 | 2009-09-30 | 2010-04-01 |
| Rep | 證券交易 | 2009-08-11 | 2012-02-17 | |
| CHIEF SECURITIES LIMITED | Rep | 證券交易 | 2009-05-15 | 2009-07-20 |
| J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | 就機構融資提供意見 | - | 2003-12-02 |
| Rep | 提供資產管理 | - | 2003-12-02 | |
| Rep | 提供自動化交易服務 | - | 2003-12-02 | |
| Rep | 就證券提供意見 | - | 2008-12-11 | |
| Rep | 證券交易 | - | 2008-12-11 |