| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Eddid Securities and Futures Limited | RO | 就證券提供意見 | 2026-05-27 | - |
| RO | 提供資產管理 | 2026-05-27 | - | |
| RO | 證券交易 | 2026-05-27 | - | |
| Rep | 就證券提供意見 | 2026-03-26 | 2026-05-27 | |
| Rep | 提供資產管理 | 2026-03-26 | 2026-05-27 | |
| Rep | 證券交易 | 2026-03-26 | 2026-05-27 | |
| Sauder Global Investment Management Limited | RO | 證券交易 | 2024-10-10 | 2026-01-31 |
| RO | 就證券提供意見 | 2024-01-24 | 2026-01-31 | |
| RO | 提供資產管理 | 2024-01-24 | 2026-01-31 | |
| GALAXY ASSET MANAGEMENT (H.K.) LIMITED | RO | 就證券提供意見 | 2023-08-03 | 2024-01-22 |
| RO | 提供資產管理 | 2023-08-03 | 2024-01-22 | |
| FRONTIER CAPITAL MANAGEMENT LIMITED (HK) | RO | 就證券提供意見 | 2020-02-12 | 2022-08-17 |
| RO | 提供資產管理 | 2020-02-12 | 2022-08-17 | |
| RO | 證券交易 | 2020-02-12 | 2022-08-17 | |
| Rep | 就證券提供意見 | 2020-01-23 | 2020-02-12 | |
| Rep | 提供資產管理 | 2020-01-23 | 2020-02-12 | |
| Rep | 證券交易 | 2020-01-23 | 2020-02-12 | |
| PHILIPPA HUCKLE GROUP LIMITED, THE (TRADING AS ARIA FORUM WEALTH MANAGEMENT) | RO | 就證券提供意見 | 2018-06-01 | 2019-06-21 |
| RO | 提供資產管理 | 2018-06-01 | 2019-06-21 | |
| RO | 證券交易 | 2018-06-01 | 2019-06-21 | |
| Rep | 就證券提供意見 | 2018-05-25 | 2018-06-01 | |
| Rep | 提供資產管理 | 2018-05-25 | 2018-06-01 | |
| Rep | 證券交易 | 2018-05-25 | 2018-06-01 | |
| CCB Securities Limited | RO | 證券交易 | 2018-01-05 | 2018-03-21 |
| RO | 就證券提供意見 | 2016-06-20 | 2018-03-21 | |
| RO | 提供資產管理 | 2016-06-20 | 2018-03-21 | |
| GUOSEN SECURITIES (HK) ASSET MANAGEMENT COMPANY LIMITED | Rep | 提供資產管理 | 2014-01-27 | 2015-04-02 |
| GALAXY ASSET MANAGEMENT (H.K.) LIMITED | Rep | 就證券提供意見 | 2013-12-06 | 2014-01-21 |
| Rep | 提供資產管理 | 2013-12-06 | 2014-01-21 | |
| AN ZHONG (AZ) INVESTMENT MANAGEMENT HONG KONG LIMITED | RO | 就證券提供意見 | 2011-08-03 | 2011-08-25 |
| RO | 提供資產管理 | 2011-08-03 | 2011-08-25 | |
| RO | 證券交易 | 2011-08-03 | 2011-08-25 | |
| BOCOM International Asset Management Limited | Rep | 提供資產管理 | 2008-01-07 | 2011-03-16 |
| BOCOM International Securities Limited | Rep | 就證券提供意見 | 2008-01-07 | 2011-03-16 |
| Rep | 證券交易 | 2008-01-07 | 2011-03-16 | |
| HANG SENG INVESTMENT MANAGEMENT LIMITED | RO | 就證券提供意見 | 2004-09-24 | 2007-07-20 |
| RO | 提供資產管理 | 2004-09-24 | 2007-07-20 | |
| RO | 證券交易 | 2004-09-24 | 2007-07-20 | |
| Rep | 就證券提供意見 | 2004-07-19 | 2004-09-24 | |
| Rep | 提供資產管理 | 2004-07-19 | 2004-09-24 | |
| Rep | 證券交易 | 2004-07-19 | 2004-09-24 | |
| Nomura Asset Management Hong Kong Limited | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-06-26 |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-06-26 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-06-26 | |
| Rep | 證券交易 | 2003-04-01 | 2004-06-26 |
已採集記錄中暫無金管局登記。