| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| STORMHARBOUR SECURITIES (HONG KONG) LIMITED | RO | 就證券提供意見 | 2023-06-05 | - |
| RO | 提供資產管理 | 2023-06-05 | - | |
| Rep | 提供資產管理 | 2023-04-14 | 2023-06-05 | |
| Rep | 證券交易 | 2023-04-14 | 2026-05-15 | |
| GOLDLINK ASSET MANAGEMENT (ASIA) LIMITED | RO | 就證券提供意見 | 2022-04-13 | 2022-10-25 |
| RO | 提供資產管理 | 2022-04-13 | 2022-10-25 | |
| Rep | 提供資產管理 | 2021-08-19 | 2022-04-13 | |
| Rep | 就證券提供意見 | 2021-07-30 | 2022-04-13 | |
| GOLDLINK SECURITIES LIMITED | Rep | 證券交易 | 2021-07-30 | 2022-10-25 |
| CACHET ASSET MANAGEMENT LIMITED | Rep | 就證券提供意見 | 2020-10-14 | 2021-02-04 |
| Rep | 證券交易 | 2020-10-14 | 2021-02-04 | |
| Venture Smart Asia Limited | Rep | 提供資產管理 | 2018-09-18 | 2020-02-19 |
| Rep | 就證券提供意見 | 2018-09-18 | 2020-09-14 | |
| Rep | 證券交易 | 2018-09-18 | 2020-09-14 | |
| STORMHARBOUR SECURITIES (HONG KONG) LIMITED | Rep | 就機構融資提供意見 | 2016-10-31 | 2018-08-18 |
| Rep | 就證券提供意見 | 2016-10-31 | 2018-08-18 | |
| Rep | 證券交易 | 2016-10-31 | 2018-08-18 | |
| ABCI ASSET MANAGEMENT LIMITED | Rep | 就證券提供意見 | 2015-09-14 | 2016-06-25 |
| Rep | 提供資產管理 | 2015-09-14 | 2016-06-25 | |
| China Securities (International) Asset Management Company Limited | Rep | 就證券提供意見 | 2014-07-21 | 2015-08-30 |
| China Securities (International) Brokerage Company Limited | Rep | 證券交易 | 2014-06-05 | 2015-01-15 |
| China Securities (International) Asset Management Company Limited | Rep | 提供資產管理 | 2013-07-29 | 2015-08-30 |
| HFT INVESTMENT MANAGEMENT (HK) LIMITED | Rep | 就證券提供意見 | 2011-05-03 | 2012-09-14 |
| Rep | 提供資產管理 | 2011-05-03 | 2012-09-14 | |
| NORTHERN TRUST COMPANY OF HONG KONG LIMITED, THE | Rep | 證券交易 | 2010-05-11 | 2010-09-21 |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | 期貨合約交易 | 2007-07-16 | 2010-04-28 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2007-07-16 | 2010-04-28 |
已採集記錄中暫無金管局登記。