| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED | RO | 就證券提供意見 | 2020-01-21 | - |
| RO | 證券交易 | 2020-01-21 | - | |
| Rep | 就證券提供意見 | 2019-09-17 | 2020-01-21 | |
| Rep | 證券交易 | 2019-09-17 | 2020-01-21 | |
| GUOYUAN CAPITAL (HONG KONG) LIMITED | Rep | 證券交易 | 2016-08-05 | 2020-02-17 |
| Rep | 就機構融資提供意見 | 2016-08-05 | 2026-09-25 | |
| FIRST SHANGHAI CAPITAL LIMITED | Rep | 就機構融資提供意見 | 2013-01-16 | 2016-06-30 |
| FIRST SHANGHAI SECURITIES LIMITED | Rep | 就證券提供意見 | 2011-10-17 | 2013-01-04 |
| GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED | RO | 就證券提供意見 | 2010-05-26 | 2011-04-22 |
| Rep | 就證券提供意見 | 2010-01-15 | 2010-05-26 | |
| FIRST SHANGHAI SECURITIES LIMITED | Rep | 就證券提供意見 | 2008-02-18 | 2009-12-15 |
已採集記錄中暫無金管局登記。