| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED | RO | 就證券提供意見 | 2018-10-16 | - |
| RO | 證券交易 | 2018-10-16 | - | |
| CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED | Rep | 期貨合約交易 | 2018-08-13 | - |
| CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED | Rep | 就證券提供意見 | 2018-07-30 | 2018-10-16 |
| Rep | 證券交易 | 2018-07-30 | 2018-10-16 | |
| CMB International Securities Limited | RO | 證券交易 | 2017-09-27 | 2018-06-14 |
| Rep | 就證券提供意見 | 2017-01-05 | 2018-06-14 | |
| Rep | 證券交易 | 2015-09-21 | 2017-09-27 | |
| HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2014-01-14 | 2014-05-16 |
| Rep | 證券交易 | 2014-01-14 | 2014-05-16 | |
| BOCI SECURITIES LIMITED | Rep | 就證券提供意見 | 2013-07-05 | 2013-12-06 |
| Rep | 證券交易 | 2013-07-05 | 2013-12-06 |
已採集記錄中暫無金管局登記。