| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SPIC Asset Management (Hong Kong) Company Limited | RO | 就證券提供意見 | 2024-03-25 | - |
| RO | 提供資產管理 | 2024-03-25 | - | |
| RO | 證券交易 | 2024-03-25 | - | |
| Rep | 就證券提供意見 | 2024-02-01 | 2024-03-25 | |
| Rep | 提供資產管理 | 2024-02-01 | 2024-03-25 | |
| Rep | 證券交易 | 2024-02-01 | 2024-03-25 | |
| Roofer Asset Management Limited | RO | 提供資產管理 | 2021-12-06 | 2024-01-31 |
| ROOFER SECURITIES LIMITED | RO | 就證券提供意見 | 2021-12-06 | 2024-01-31 |
| RO | 證券交易 | 2021-12-06 | 2024-01-31 | |
| Roofer Asset Management Limited | Rep | 提供資產管理 | 2021-11-05 | 2021-12-06 |
| ROOFER SECURITIES LIMITED | Rep | 就證券提供意見 | 2021-11-05 | 2021-12-06 |
| Rep | 證券交易 | 2021-11-05 | 2021-12-06 | |
| YUANYIN ASSET MANAGEMENT LIMITED | RO | 就證券提供意見 | 2021-04-30 | 2021-09-06 |
| RO | 提供資產管理 | 2021-04-30 | 2021-09-06 | |
| YUANYIN SECURITIES LIMITED | RO | 就證券提供意見 | 2020-06-12 | 2021-09-06 |
| RO | 證券交易 | 2020-06-12 | 2021-09-06 | |
| YUANYIN ASSET MANAGEMENT LIMITED | Rep | 提供資產管理 | 2020-06-01 | 2021-04-30 |
| YUANYIN SECURITIES LIMITED | Rep | 就證券提供意見 | 2020-06-01 | 2020-06-12 |
| Rep | 證券交易 | 2020-06-01 | 2020-06-12 | |
| SHENG YUAN SECURITIES LIMITED | Rep | 就證券提供意見 | 2019-08-29 | 2020-03-18 |
| RO | 證券交易 | 2019-06-19 | 2020-03-18 | |
| SHENG YUAN ASSET MANAGEMENT LIMITED | Rep | 就證券提供意見 | 2018-06-01 | 2019-07-23 |
| Rep | 提供資產管理 | 2018-06-01 | 2020-03-18 | |
| SHENG YUAN SECURITIES LIMITED | Rep | 證券交易 | 2018-05-04 | 2019-06-19 |
| Hao Tian International Securities Limited | Rep | 證券交易 | 2017-09-05 | 2018-03-29 |
| SANFULL SECURITIES LIMITED | Rep | 證券交易 | 2015-09-09 | 2017-08-01 |
| CHIEF SECURITIES LIMITED | Rep | 就證券提供意見 | 2014-07-28 | 2015-08-19 |
| Rep | 提供資產管理 | 2014-07-28 | 2015-08-19 | |
| Rep | 證券交易 | 2014-07-28 | 2015-08-19 |
已採集記錄中暫無金管局登記。