| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| BOCI SECURITIES LIMITED | Rep | 杠杆式外汇交易 | 2011-06-08 | 2013-10-20 |
| Rep | 期货合约交易 | 2011-01-17 | 2013-10-20 | |
| Rep | 证券交易 | 2011-01-17 | 2013-10-20 | |
| HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | 证券交易 | 2008-11-01 | 2010-10-30 |
| HSBC BROKING FOREX (ASIA) LIMITED | Rep | 杠杆式外汇交易 | - | 2010-10-30 |
| HSBC BROKING FUTURES (ASIA) LIMITED | Rep | 就期货合约提供意见 | - | 2004-07-16 |
| Rep | 提供资产管理 | - | 2004-07-16 | |
| Rep | 期货合约交易 | - | 2010-10-30 | |
| HSBC BROKING SECURITIES (ASIA) LIMITED | RO | 提供自动化交易服务 | - | 2003-09-02 |
| RO | 就机构融资提供意见 | - | 2004-07-16 | |
| RO | 就证券提供意见 | - | 2004-07-16 | |
| RO | 提供资产管理 | - | 2004-07-16 | |
| RO | 证券交易 | - | 2008-11-01 |