| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| TFI Securities and Futures Limited | RO | 證券交易 | 2023-02-10 | - |
| TFI Capital Limited | RO | 就機構融資提供意見 | 2022-11-18 | - |
| Rep | 就機構融資提供意見 | 2022-07-14 | 2022-11-18 | |
| ADVENT CORPORATE FINANCE LIMITED (GBEN) | RO | 就機構融資提供意見 | 2021-07-09 | 2022-07-03 |
| Rep | 就機構融資提供意見 | 2021-05-24 | 2021-07-09 | |
| Sunny Fortune Capital Limited | Rep | 就證券提供意見 | 2020-08-11 | 2021-05-04 |
| Rep | 證券交易 | 2020-08-11 | 2021-05-04 | |
| RO | 就證券提供意見 | 2020-01-15 | 2020-08-11 | |
| RO | 證券交易 | 2020-01-15 | 2020-08-11 | |
| RO | 就機構融資提供意見 | 2020-01-15 | 2021-05-04 | |
| SOUTH CHINA CAPITAL LIMITED | RO | 就機構融資提供意見 | 2019-02-19 | 2019-07-19 |
| SOUTH CHINA RESEARCH LIMITED | RO | 就證券提供意見 | 2019-02-19 | 2019-07-19 |
| SOUTH CHINA SECURITIES LIMITED | RO | 證券交易 | 2019-02-19 | 2019-07-19 |
| SOUTH CHINA CAPITAL LIMITED | Rep | 就機構融資提供意見 | 2015-09-09 | 2019-02-19 |
| SOUTH CHINA RESEARCH LIMITED | Rep | 就證券提供意見 | 2015-09-09 | 2019-02-19 |
| SOUTH CHINA SECURITIES LIMITED | Rep | 證券交易 | 2015-09-09 | 2019-02-19 |
| RBS Asia Corporate Finance Limited | Rep | 就機構融資提供意見 | 2008-02-05 | 2008-12-02 |
| Rep | 證券交易 | 2008-02-05 | 2008-12-02 | |
| DBS ASIA CAPITAL LIMITED | Rep | 就機構融資提供意見 | 2006-06-12 | 2007-09-22 |
| Rep | 就證券提供意見 | 2006-06-12 | 2007-09-22 | |
| Rep | 證券交易 | 2006-06-12 | 2007-09-22 | |
| SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED | Rep | 提供資產管理 | 2003-04-01 | 2004-07-22 |
| Rep | 就機構融資提供意見 | 2003-04-01 | 2006-06-01 | |
| Rep | 就證券提供意見 | 2003-04-01 | 2006-06-01 |
已採集記錄中暫無金管局登記。