| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| ADS Securities Hong Kong Limited | RO | 就证券提供意见 | 2017-08-25 | 2020-11-05 |
| RO | 期货合约交易 | 2016-05-25 | 2022-11-08 | |
| RO | 证券交易 | 2016-05-25 | 2022-11-08 | |
| RO | 杠杆式外汇交易 | 2015-09-15 | 2022-11-08 | |
| Saxo Capital Markets HK Limited | RO | 期货合约交易 | 2012-05-17 | 2014-08-08 |
| RO | 证券交易 | 2011-01-19 | 2014-08-08 | |
| RO | 杠杆式外汇交易 | 2011-01-19 | 2014-08-08 | |
| Rakuten Securities Hong Kong Limited | Rep | 杠杆式外汇交易 | 2009-03-20 | 2009-08-04 |
| RO | 杠杆式外汇交易 | 2006-07-14 | 2009-03-20 | |
| Rep | 杠杆式外汇交易 | - | 2006-07-14 |