| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Futu Securities International (HONG KONG) Limited | RO | 就證券提供意見 | 2026-05-13 | - |
| RO | 證券交易 | 2026-05-13 | - | |
| Rep | 就證券提供意見 | 2026-02-24 | 2026-05-13 | |
| Rep | 證券交易 | 2026-02-24 | 2026-05-13 | |
| EMPEROR SECURITIES LIMITED (HK) | RO | 就證券提供意見 | 2025-01-22 | 2025-03-27 |
| RO | 證券交易 | 2025-01-22 | 2025-11-21 | |
| EMPEROR CORPORATE FINANCE LIMITED | Rep | 就機構融資提供意見 | 2023-12-15 | 2025-11-21 |
| EMPEROR SECURITIES LIMITED (HK) | Rep | 就證券提供意見 | 2023-10-26 | 2025-01-22 |
| Rep | 證券交易 | 2023-10-26 | 2025-01-22 | |
| CAITONG INTERNATIONAL CAPITAL CO., LIMITED | RO | 證券交易 | 2023-05-23 | 2023-07-04 |
| CAITONG INTERNATIONAL SECURITIES CO., LIMITED | RO | 證券交易 | 2023-05-23 | 2023-07-04 |
| CAITONG INTERNATIONAL CAPITAL CO., LIMITED | Rep | 證券交易 | 2023-02-17 | 2023-05-23 |
| Rep | 就機構融資提供意見 | 2023-02-17 | 2023-07-04 | |
| CAITONG INTERNATIONAL SECURITIES CO., LIMITED | Rep | 證券交易 | 2023-02-17 | 2023-05-23 |
| Rep | 就證券提供意見 | 2023-02-17 | 2023-07-04 | |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 就證券提供意見 | 2022-10-13 | 2023-01-31 |
| RO | 證券交易 | 2022-10-13 | 2023-01-31 | |
| SOUTHWEST SECURITIES (HK) CAPITAL LIMITED | Rep | 就機構融資提供意見 | 2022-10-13 | 2023-01-31 |
| RO | 證券交易 | 2022-10-13 | 2023-01-31 | |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 證券交易 | 2022-09-27 | 2022-10-13 |
| SOUTHWEST SECURITIES (HK) CAPITAL LIMITED | Rep | 證券交易 | 2022-09-27 | 2022-10-13 |
| SHANXI SECURITIES INTERNATIONAL LIMITED | Rep | 證券交易 | 2021-10-15 | 2022-08-21 |
| CINDA INTERNATIONAL CAPITAL LIMITED | Rep | 證券交易 | 2019-09-03 | 2021-10-01 |
| ARISTO SECURITIES LIMITED | Rep | 證券交易 | 2018-12-12 | 2019-08-07 |
| RHB SECURITIES HONG KONG LIMITED | Rep | 證券交易 | 2018-05-25 | 2018-07-19 |
金管局記錄暫時無法載入，請稍後重試。