| Organisation | Role | Activity | From | Until |
|---|---|---|---|---|
| JQ Investments (HK) Limited | RO | Dealing in securities | 2024-08-27 | - |
| RO | Advising on securities | 2024-02-05 | - | |
| RO | Asset management | 2024-02-05 | - | |
| Akuna Hong Kong Limited | RO | Dealing in futures contracts | 2023-02-24 | 2023-10-27 |
| RO | Dealing in securities | 2023-02-24 | 2023-10-27 | |
| Rep | Dealing in futures contracts | 2023-01-30 | 2023-02-24 | |
| Rep | Dealing in securities | 2023-01-30 | 2023-02-24 | |
| Beevest Securities Limited | RO | Advising on securities | 2021-12-23 | 2022-08-10 |
| RO | Dealing in futures contracts | 2021-12-23 | 2022-08-10 | |
| RO | Dealing in securities | 2021-12-23 | 2022-08-10 | |
| FRONTIER CAPITAL MANAGEMENT LIMITED (HK) | Rep | Advising on securities | 2021-10-07 | 2021-10-18 |
| Rep | Dealing in securities | 2021-10-07 | 2021-10-18 | |
| CMBC INTERNATIONAL FUTURES COMPANY LIMITED | RO | Dealing in futures contracts | 2021-04-20 | 2021-09-20 |
| CMBC SECURITIES COMPANY LIMITED | RO | Advising on securities | 2021-04-20 | 2021-09-20 |
| RO | Dealing in securities | 2021-04-20 | 2021-09-20 | |
| CMBC INTERNATIONAL FUTURES COMPANY LIMITED | Rep | Dealing in futures contracts | 2021-02-26 | 2021-04-20 |
| CMBC SECURITIES COMPANY LIMITED | Rep | Advising on securities | 2021-02-26 | 2021-04-20 |
| Rep | Dealing in securities | 2021-02-26 | 2021-04-20 | |
| PING AN SECURITIES (HONG KONG) COMPANY LIMITED | RO | Dealing in securities | 2020-04-02 | 2021-01-28 |
| PING AN SECURITIES (HONG KONG) FUTURES COMPANY LIMITED | RO | Dealing in futures contracts | 2020-04-02 | 2021-01-28 |
| PING AN SECURITIES (HONG KONG) COMPANY LIMITED | Rep | Dealing in securities | 2019-12-11 | 2020-04-02 |
| Rep | Advising on securities | 2019-12-11 | 2021-01-28 | |
| PING AN SECURITIES (HONG KONG) FUTURES COMPANY LIMITED | Rep | Dealing in futures contracts | 2019-09-17 | 2020-04-02 |
| Rep | Advising on futures contracts | 2019-09-17 | 2021-01-28 | |
| Ping An Securities (Hong Kong) Holdings Company Limited | Rep | Advising on securities | 2019-09-17 | 2020-03-27 |
| Rep | Dealing in securities | 2019-09-17 | 2020-03-27 | |
| Soochow Securities International Asset Management Limited | Rep | Asset management | 2019-01-22 | 2019-08-28 |
| Soochow Securities International Brokerage Limited | RO | Advising on securities | 2018-11-19 | 2019-08-28 |
| RO | Dealing in securities | 2018-11-19 | 2019-08-28 | |
| Soochow Securities International Futures Limited | RO | Advising on futures contracts | 2018-11-19 | 2019-08-28 |
| RO | Dealing in futures contracts | 2018-11-19 | 2019-08-28 | |
| Soochow Securities International Brokerage Limited | Rep | Advising on securities | 2018-09-24 | 2018-11-19 |
| Rep | Dealing in securities | 2018-09-24 | 2018-11-19 | |
| Soochow Securities International Futures Limited | Rep | Advising on futures contracts | 2018-09-24 | 2018-11-19 |
| Rep | Dealing in futures contracts | 2018-09-24 | 2018-11-19 | |
| AP Capital Management (Hong Kong) Limited | Rep | Asset management | 2018-01-12 | 2018-09-12 |
| RO | Advising on futures contracts | 2017-08-10 | 2018-09-12 | |
| RO | Advising on securities | 2017-08-10 | 2018-09-12 | |
| RO | Dealing in futures contracts | 2017-08-08 | 2018-09-12 | |
| RO | Dealing in securities | 2017-08-08 | 2018-09-12 | |
| ZHONGTAI INTERNATIONAL FUTURES LIMITED | RO | Dealing in futures contracts | 2016-05-16 | 2017-06-30 |
| ZHONGTAI INTERNATIONAL SECURITIES LIMITED | RO | Advising on securities | 2016-05-16 | 2017-06-30 |
| RO | Dealing in securities | 2016-05-16 | 2017-06-30 | |
| ZHONGTAI INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2016-03-16 | 2016-05-16 |
| ZHONGTAI INTERNATIONAL SECURITIES LIMITED | Rep | Advising on securities | 2016-03-16 | 2016-05-16 |
| Rep | Dealing in securities | 2016-03-16 | 2016-05-16 | |
| CHINA MERCHANTS FUTURES (HK) CO., LIMITED | RO | Advising on futures contracts | 2014-04-08 | 2015-12-09 |
| RO | Dealing in futures contracts | 2014-04-08 | 2015-12-09 | |
| CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | RO | Dealing in futures contracts | 2014-04-08 | 2015-12-09 |
| CHINA MERCHANTS FUTURES (HK) CO., LIMITED | Rep | Advising on futures contracts | 2013-09-11 | 2014-04-08 |
| CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | Advising on securities | 2013-09-11 | 2015-12-09 |
| CHINA MERCHANTS FUTURES (HK) CO., LIMITED | Rep | Dealing in futures contracts | 2011-06-20 | 2014-04-08 |
| CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | Dealing in securities | 2011-06-20 | 2015-12-09 |
| BOCOM International Securities Limited | Rep | Dealing in futures contracts | 2010-06-29 | 2011-05-29 |
| Rep | Dealing in securities | 2010-06-29 | 2011-05-29 | |
| PHILLIP CAPITAL MANAGEMENT (HK) LIMITED | Rep | Advising on securities | 2008-07-31 | 2010-05-29 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | Advising on futures contracts | 2008-07-31 | 2010-05-29 |
| Rep | Leveraged foreign exchange trading | 2006-10-05 | 2010-05-29 | |
| Rep | Dealing in futures contracts | 2006-06-02 | 2010-05-29 | |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2006-06-02 | 2010-05-29 |
No HKMA registrations in the collected records.