| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| WING FUNG SECURITIES LIMITED | RO | 就期貨合約提供意見 | 2023-07-24 | - |
| RO | 就證券提供意見 | 2023-07-24 | - | |
| RO | 提供資產管理 | 2023-07-24 | - | |
| WING FUNG FINTECH LIMITED | Rep | 槓桿式外匯交易 | 2018-11-09 | 2022-12-06 |
| WING FUNG FUTURES LIMITED | Rep | 期貨合約交易 | 2018-01-10 | - |
| WING FUNG SECURITIES LIMITED | Rep | 證券交易 | 2018-01-10 | - |
| Rep | 提供資產管理 | 2017-12-11 | 2023-07-24 | |
| SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED | Rep | 就證券提供意見 | 2009-03-02 | 2009-08-20 |
| Rep | 提供資產管理 | 2009-03-02 | 2009-08-20 | |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 證券交易 | 2009-03-02 | 2009-08-20 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 期貨合約交易 | 2009-03-02 | 2009-08-20 |
| PRUDENTIAL INDEX TRADING COMPANY LIMITED | Rep | 期貨合約交易 | 2008-04-18 | 2009-02-28 |
| PRUDENTIAL BROKERAGE LIMITED | Rep | 就證券提供意見 | 2008-01-15 | 2009-02-28 |
| Rep | 證券交易 | 2007-10-31 | 2009-02-28 | |
| TIAN YUAN FINANCE LIMITED | Rep | 提供資產管理 | 2007-10-31 | 2009-02-28 |
| Rep | 就證券提供意見 | 2007-10-17 | 2009-02-28 | |
| CENTALINE WEALTH MANAGEMENT LIMITED | Rep | 就證券提供意見 | 2006-09-01 | 2007-10-10 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 槓桿式外匯交易 | 2006-02-08 | 2006-08-18 |
已採集記錄中暫無金管局登記。