| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Nuvama Investment Advisors (Hongkong) Private Limited | RO | 就期貨合約提供意見 | 2023-11-29 | - |
| RO | 就證券提供意見 | 2023-11-29 | - | |
| RO | 期貨合約交易 | 2023-11-29 | - | |
| RO | 證券交易 | 2023-11-29 | - | |
| Rep | 就證券提供意見 | 2023-11-20 | 2023-11-29 | |
| RiverCircle Investments Limited | Rep | 就證券提供意見 | 2023-04-19 | 2023-11-06 |
| Rep | 提供資產管理 | 2023-04-19 | 2023-11-06 | |
| Merrill Lynch (Asia Pacific) Limited | Rep | 證券交易 | 2022-07-04 | 2023-03-02 |
| Merrill Lynch Far East Limited | Rep | 期貨合約交易 | 2022-07-04 | 2023-03-02 |
| Rep | 證券交易 | 2022-07-04 | 2023-03-02 | |
| UBS SECURITIES ASIA LIMITED | Rep | 期貨合約交易 | 2017-11-06 | 2022-03-30 |
| Rep | 證券交易 | 2017-11-06 | 2022-03-30 | |
| UBS SECURITIES HONG KONG LIMITED | Rep | 期貨合約交易 | 2017-11-06 | 2022-03-30 |
| Rep | 證券交易 | 2017-11-06 | 2022-03-30 |
已採集記錄中暫無金管局登記。