| Organisation | Role | Activity | From | Until |
|---|---|---|---|---|
| BOCI SECURITIES LIMITED | RO | Advising on securities | 2024-02-14 | - |
| RO | Dealing in securities | 2024-02-14 | - | |
| Rep | Advising on securities | 2023-03-13 | 2024-02-14 | |
| Rep | Dealing in securities | 2023-03-13 | 2024-02-14 | |
| Citigroup Global Markets Asia Limited | Rep | Dealing in securities | 2007-07-18 | 2008-02-01 |
| CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Dealing in futures contracts | 2007-07-18 | 2008-02-01 |
| Institution | Activity | HKMA role | Capacity | From | Until | Status |
|---|---|---|---|---|---|---|
| 中 銀 國 際 有 限 公 司 | Dealing in securities | EO | HEAD OF PRODUCT MARKETING, PRIVATE BANKING | 2024-04-24 | — | Current |
| 中 銀 國 際 有 限 公 司 | Advising on securities | EO | HEAD OF PRODUCT MARKETING, PRIVATE BANKING | 2024-04-24 | — | Current |
| 中 銀 國 際 有 限 公 司 | Dealing in securities | Non-EO | — | 2023-03-22 | 2024-04-23 | Former |
| 中 銀 國 際 有 限 公 司 | Advising on securities | Non-EO | — | 2023-03-22 | 2024-04-23 | Former |
| 招 商 永 隆 銀 行 有 限 公 司 | Dealing in securities | EO | — | 2020-12-15 | 2023-01-08 | Former |
| 招 商 永 隆 銀 行 有 限 公 司 | Advising on securities | EO | — | 2020-12-15 | 2023-01-08 | Former |
| 招 商 永 隆 銀 行 有 限 公 司 | Dealing in securities | Non-EO | — | 2019-11-23 | 2020-12-14 | Former |
| 招 商 永 隆 銀 行 有 限 公 司 | Advising on securities | Non-EO | — | 2019-11-23 | 2020-12-14 | Former |
| 恒 生 銀 行 有 限 公 司 | Dealing in securities | Non-EO | — | 2016-08-24 | 2019-10-22 | Former |
| 恒 生 銀 行 有 限 公 司 | Advising on securities | Non-EO | — | 2016-08-24 | 2019-10-22 | Former |
| 恒 生 銀 行 有 限 公 司 | Providing automated trading services | Non-EO | — | 2016-08-24 | 2019-10-22 | Former |
| 恒 生 銀 行 有 限 公 司 | Dealing in securities | Non-EO | — | 2008-03-17 | 2014-07-22 | Former |
| 恒 生 銀 行 有 限 公 司 | Advising on securities | Non-EO | — | 2008-03-17 | 2014-07-22 | Former |
| 恒 生 銀 行 有 限 公 司 | Providing automated trading services | Non-EO | — | 2008-03-17 | 2014-07-22 | Former |
| 蘇 格 蘭 皇 家 銀 行 有 限 公 司 | Dealing in securities | Non-EO | — | 2006-04-27 | 2007-02-27 | Former |