| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Joy Rich Asset Management Company Limited | RO | 提供資產管理 | 2021-02-01 | - |
| JOY RICH SECURITIES INVESTMENT LIMITED | RO | 就證券提供意見 | 2019-09-12 | - |
| Rep | 證券交易 | 2019-06-05 | - | |
| NINE RIVERS CAPITAL PARTNERS LIMITED | RO | 就證券提供意見 | 2018-02-27 | 2018-12-31 |
| RO | 提供資產管理 | 2018-02-27 | 2018-12-31 | |
| Rep | 提供資產管理 | 2016-06-21 | 2018-02-27 | |
| Rep | 證券交易 | 2015-10-20 | 2018-12-31 | |
| CMBC INTERNATIONAL FUTURES COMPANY LIMITED | Rep | 期貨合約交易 | 2010-11-16 | 2015-06-26 |
| CMBC SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2010-11-16 | 2015-06-26 |
| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | 證券交易 | 2009-11-06 | 2010-11-06 |
| CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | 期貨合約交易 | 2009-11-06 | 2010-11-06 |
| CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2009-11-06 | 2010-11-06 |
已採集記錄中暫無金管局登記。