| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Vantage Capital Markets HK Limited | Rep | 證券交易 | 2014-01-10 | - |
| SJS Markets Limited | Rep | 證券交易 | 2009-05-05 | 2013-11-22 |
| DEBTTRADERS, LIMITED - IN LIQUIDATION | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-09-22 |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-09-22 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-09-22 | |
| Rep | 證券交易 | 2003-04-01 | 2004-09-22 |