| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | RO | 就證券提供意見 | 2024-02-16 | - |
| RO | 證券交易 | 2024-02-16 | - | |
| Rep | 就證券提供意見 | 2022-11-16 | 2024-02-16 | |
| Rep | 證券交易 | 2022-11-16 | 2024-02-16 | |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2021-02-25 | 2022-02-28 |
| NATIXIS ASIA LIMITED | Rep | 就證券提供意見 | 2018-08-21 | 2020-11-10 |
| Rep | 證券交易 | 2018-08-21 | 2020-11-10 | |
| Standard Chartered Securities (Hong Kong) Limited | Rep | 就證券提供意見 | 2014-02-07 | 2015-10-27 |
| Rep | 就期貨合約提供意見 | 2013-02-27 | 2015-10-27 | |
| Rep | 期貨合約交易 | 2013-02-27 | 2015-10-27 | |
| Rep | 證券交易 | 2012-07-18 | 2015-10-27 |
已採集記錄中暫無金管局登記。