| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Universal Unite Wealth Management Limited | RO | 證券交易 | 2026-11-09 | - |
| RO | 就證券提供意見 | 2025-05-21 | - | |
| RO | 提供資產管理 | 2025-05-21 | - | |
| HONGKONG NEW PORT FUND MANAGEMENT LIMITED | RO | 就證券提供意見 | 2024-06-18 | 2025-02-16 |
| RO | 提供資產管理 | 2024-06-18 | 2025-02-16 | |
| AJ Asset Management Limited | Rep | 提供資產管理 | 2019-01-31 | 2024-06-17 |
| AJ Securities Limited | RO | 就證券提供意見 | 2018-07-20 | 2024-06-17 |
| RO | 證券交易 | 2018-04-18 | 2024-06-17 | |
| Rep | 證券交易 | 2018-03-09 | 2018-04-18 | |
| JIMEI SECURITIES LIMITED | RO | 證券交易 | 2017-08-21 | 2018-01-31 |
| HEAD & SHOULDERS ASSET MANAGEMENT LIMITED | Rep | 提供資產管理 | 2015-12-07 | 2017-07-22 |
| Mage Securities Limited | Rep | 就證券提供意見 | 2014-07-14 | 2017-07-22 |
| RO | 證券交易 | 2014-05-19 | 2017-07-22 | |
| Rep | 證券交易 | 2014-01-10 | 2014-05-19 | |
| SANFULL FUTURES LIMITED | Rep | 期貨合約交易 | 2012-07-16 | 2013-12-31 |
| SANFULL SECURITIES LIMITED | Rep | 證券交易 | 2011-11-18 | 2013-12-31 |
| RaffAello Securities (HK) Limited | Rep | 證券交易 | 2011-09-09 | 2011-10-31 |
| DBS VICKERS (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2004-08-09 | 2006-06-24 |
| Rep | 證券交易 | 2004-08-09 | 2006-06-24 | |
| Polaris Capital (Asia) Limited | Rep | 證券交易 | 2004-01-19 | 2004-08-02 |
| Yuanta Asia Investment (Hong Kong) Limited | Rep | 期貨合約交易 | 2004-01-19 | 2004-08-02 |
| KuCoin Commodity Futures Limited | Rep | 就期貨合約提供意見 | 2003-04-01 | 2004-01-16 |
| Rep | 提供資產管理 | 2003-04-01 | 2004-01-16 | |
| Rep | 期貨合約交易 | 2003-04-01 | 2004-01-16 | |
| KuCoin HK Limited | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-01-16 |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-01-16 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-01-16 | |
| Rep | 證券交易 | 2003-04-01 | 2004-01-16 |
已採集記錄中暫無金管局登記。