| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Morgan Stanley Asia Limited | Rep | 證券交易 | 2016-02-29 | - |
| Morgan Stanley Hong Kong Securities Limited | Rep | 提供自動化交易服務 | 2016-02-29 | - |
| Rep | 期貨合約交易 | 2016-02-29 | - | |
| Rep | 證券交易 | 2016-02-29 | - | |
| Phoenician Limited (HK) | RO | 就證券提供意見 | 2015-09-21 | 2016-02-12 |
| RO | 提供資產管理 | 2014-04-15 | 2016-02-12 | |
| China Reserve Securities Limited | Rep | 證券交易 | 2009-10-16 | 2011-06-20 |
| Citigroup Global Markets Asia Limited | Rep | 證券交易 | 2007-12-20 | 2008-11-19 |
| Daiwa Capital Markets Hong Kong Limited | Rep | 期貨合約交易 | 2007-10-25 | 2007-11-17 |
| Rep | 證券交易 | 2007-08-20 | 2007-11-17 | |
| DAIWA SECURITIES SMBC FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2007-08-20 | 2007-11-17 |
| Funderstone Futures Limited | Rep | 期貨合約交易 | 2004-07-05 | 2005-05-25 |
| Funderstone Securities Limited | Rep | 證券交易 | 2004-07-05 | 2005-05-25 |
已採集記錄中暫無金管局登記。