| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| CHARLES SCHWAB, HONG KONG, LIMITED | Rep | 就证券提供意见 | 2019-11-05 | 2022-03-31 |
| Rep | 证券交易 | 2019-11-05 | 2022-03-31 | |
| Rep | 就证券提供意见 | 2017-06-20 | 2019-03-29 | |
| Rep | 证券交易 | 2017-06-20 | 2019-03-29 | |
| ETRADE SECURITIES (HONG KONG) LIMITED | Rep | 杠杆式外汇交易 | 2006-04-28 | 2010-11-01 |
| Rep | 就机构融资提供意见 | - | 2004-01-05 | |
| Rep | 提供资产管理 | - | 2004-01-05 | |
| Rep | 提供自动化交易服务 | - | 2004-01-05 | |
| Rep | 就证券提供意见 | - | 2016-03-10 | |
| Rep | 证券交易 | - | 2016-03-10 | |
| ETRADE SECURITIES LIMITED | Rep | 就机构融资提供意见 | - | 2004-01-05 |
| Rep | 提供资产管理 | - | 2004-01-05 | |
| Rep | 提供自动化交易服务 | - | 2004-01-05 | |
| Rep | 就证券提供意见 | - | 2007-10-31 | |
| Rep | 证券交易 | - | 2007-10-31 |