| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CHINA EVERBRIGHT SECURITIES (HK) LIMITED | RO | 證券交易 | 2018-12-14 | - |
| RO | 就證券提供意見 | 2018-12-14 | 2024-02-23 | |
| Everbright Securities Investment Services (HK) Limited | RO | 就證券提供意見 | 2018-12-14 | - |
| RO | 證券交易 | 2018-12-14 | - | |
| CHINA EVERBRIGHT SECURITIES (HK) LIMITED | Rep | 就證券提供意見 | 2018-10-18 | 2018-12-14 |
| Rep | 證券交易 | 2018-10-18 | 2018-12-14 | |
| Everbright Securities Investment Services (HK) Limited | Rep | 就證券提供意見 | 2018-10-18 | 2018-12-14 |
| Rep | 證券交易 | 2018-10-18 | 2018-12-14 | |
| KGI ASIA LIMITED | RO | 就證券提供意見 | 2018-02-05 | 2018-09-10 |
| RO | 證券交易 | 2018-02-05 | 2018-09-10 | |
| Rep | 就證券提供意見 | 2017-10-03 | 2018-02-05 | |
| Rep | 證券交易 | 2017-10-03 | 2018-02-05 | |
| Rep | 就證券提供意見 | 2017-08-08 | 2017-10-02 | |
| Rep | 證券交易 | 2017-08-08 | 2017-10-02 | |
| Crosby Securities Limited | RO | 就證券提供意見 | 2017-05-05 | 2017-06-30 |
| RO | 證券交易 | 2017-05-05 | 2017-06-30 | |
| Rep | 提供資產管理 | 2015-12-04 | 2017-06-30 | |
| Rep | 就證券提供意見 | 2015-08-24 | 2017-05-05 | |
| Rep | 證券交易 | 2015-08-24 | 2017-05-05 | |
| Guosen Securities (HK) Brokerage Company, Limited | Rep | 就證券提供意見 | 2013-06-25 | 2015-07-24 |
| Rep | 證券交易 | 2013-06-25 | 2015-07-24 | |
| BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | 證券交易 | 2012-06-22 | 2013-04-11 |
| Citigroup Global Markets Asia Limited | Rep | 證券交易 | 2006-07-18 | 2008-08-11 |
| CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | 期貨合約交易 | 2006-07-18 | 2008-08-11 |
已採集記錄中暫無金管局登記。