| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Yues Asset & Wealth Management Limited | RO | 就證券提供意見 | 2026-04-22 | - |
| RO | 提供資產管理 | 2026-04-22 | - | |
| CVG Capital Co, Limited | RO | 證券交易 | 2024-12-23 | 2026-02-28 |
| RO | 就證券提供意見 | 2024-02-23 | 2026-02-28 | |
| RO | 提供資產管理 | 2024-02-23 | 2026-02-28 | |
| Victory Securities (Global) Limited | RO | 證券交易 | 2021-12-17 | 2023-04-30 |
| Victory Asset Management Limited | RO | 就證券提供意見 | 2020-01-09 | 2023-04-30 |
| RO | 提供資產管理 | 2020-01-09 | 2023-04-30 | |
| CHUNG LEE SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2019-05-15 | 2019-06-11 |
| Finet Securities Limited | RO | 就證券提供意見 | 2018-04-11 | 2019-01-14 |
| RO | 提供資產管理 | 2018-04-11 | 2019-01-14 | |
| RO | 證券交易 | 2018-04-11 | 2019-01-14 | |
| Rep | 提供資產管理 | 2018-03-28 | 2018-04-11 | |
| RSI ASSET MANAGEMENT LIMITED | RO | 提供資產管理 | 2017-07-25 | 2018-03-26 |
| China-Hong Kong Link Securities Company Limited | RO | 證券交易 | 2016-02-25 | 2016-08-24 |
| Rep | 證券交易 | 2016-01-27 | 2016-02-25 | |
| Oshidori Securities Limited | RO | 提供資產管理 | 2015-08-26 | 2015-12-04 |
| Rep | 提供資產管理 | 2015-08-20 | 2015-08-26 | |
| MASON INVESTMENT MANAGEMENT LIMITED | RO | 就證券提供意見 | 2015-04-13 | 2015-12-04 |
| Oshidori Securities Limited | RO | 證券交易 | 2015-04-13 | 2015-12-04 |
| MASON INVESTMENT MANAGEMENT LIMITED | Rep | 就證券提供意見 | 2015-03-04 | 2015-04-13 |
| Oshidori Securities Limited | Rep | 證券交易 | 2015-03-04 | 2015-04-13 |
| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | 證券交易 | 2013-05-22 | 2015-02-12 |
| CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | 期貨合約交易 | 2013-05-22 | 2015-02-12 |
| CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2013-05-22 | 2015-02-12 |
| Hafoo Securities Limited | RO | 證券交易 | 2012-02-27 | 2012-10-01 |
| WILSON SECURITIES LIMITED | RO | 就證券提供意見 | 2012-02-27 | 2012-10-01 |
| RO | 證券交易 | 2012-02-27 | 2012-10-01 | |
| BWC FOREX LIMITED | Rep | 槓桿式外匯交易 | 2012-01-19 | 2012-10-01 |
| Hafoo Securities Limited | Rep | 證券交易 | 2012-01-19 | 2012-02-27 |
| WILSON SECURITIES LIMITED | Rep | 就證券提供意見 | 2012-01-19 | 2012-02-27 |
| Rep | 證券交易 | 2012-01-19 | 2012-02-27 | |
| CHIEF COMMODITIES LIMITED | Rep | 期貨合約交易 | 2008-09-17 | 2009-09-26 |
| CHIEF SECURITIES LIMITED | Rep | 證券交易 | 2008-09-17 | 2009-09-26 |
| CES Forex (HK) Limited | Rep | 槓桿式外匯交易 | 2008-06-19 | 2008-07-11 |
| CES Commodities (HK) Limited | Rep | 期貨合約交易 | 2008-03-14 | 2008-07-11 |
| Everbright Securities Investment Services (HK) Limited | Rep | 證券交易 | 2008-03-14 | 2008-07-11 |
| CELESTIAL COMMODITIES LIMITED | Rep | 期貨合約交易 | 2006-12-21 | 2008-03-01 |
| CELESTIAL SECURITIES LIMITED | Rep | 證券交易 | 2006-12-21 | 2008-03-01 |
| CITIC Securities Brokerage (HK) Limited | Rep | 證券交易 | 2003-09-29 | 2006-08-24 |
| CITIC Securities Futures (HK) Limited | Rep | 期貨合約交易 | 2003-09-29 | 2006-08-24 |
已採集記錄中暫無金管局登記。