| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| Sunrise Brokers (Hong Kong) Limited | Rep | 期货合约交易 | 2013-03-05 | 2014-10-21 |
| Rep | 证券交易 | 2013-03-05 | 2014-10-21 | |
| CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED | Rep | 期货合约交易 | 2012-02-16 | 2013-01-14 |
| Rep | 证券交易 | 2012-02-16 | 2013-01-14 | |
| BNP PARIBAS FUTURES (HONG KONG) LIMITED | Rep | 期货合约交易 | 2010-04-30 | 2011-08-31 |
| BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | 证券交易 | 2010-04-27 | 2011-08-31 |
| PARIBAS ASIA EQUITY LIMITED (TRADING AS PARIBAS) | Rep | 证券交易 | 2010-04-27 | 2011-08-31 |
| HSBC SECURITIES BROKERS (ASIA) LIMITED | Rep | 证券交易 | 2007-06-08 | 2010-03-16 |