| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| UCAP Securities (HK) Limited | Rep | 就證券提供意見 | 2024-04-11 | - |
| Rep | 提供資產管理 | 2024-04-11 | - | |
| Rep | 證券交易 | 2024-04-11 | - | |
| UP WAY SECURITIES LIMITED | RO | 就證券提供意見 | 2021-01-18 | 2023-03-13 |
| RO | 證券交易 | 2021-01-18 | 2023-03-13 | |
| HOI YICK INTERNATIONAL SECURITIES LIMITED | RO | 就證券提供意見 | 2019-09-04 | 2020-10-20 |
| RO | 證券交易 | 2019-09-04 | 2020-10-20 | |
| RESOCORE SECURITIES LIMITED | Rep | 證券交易 | 2017-12-29 | 2019-09-01 |
| Seazen Resources Futures Limited | Rep | 期貨合約交易 | 2017-12-29 | 2019-09-01 |
| CLC FUTURES LIMITED | Rep | 期貨合約交易 | 2017-04-18 | 2017-12-18 |
| CLC SECURITIES LIMITED | Rep | 證券交易 | 2017-04-18 | 2017-12-18 |
| I-ACCESS INVESTORS LIMITED | Rep | 期貨合約交易 | 2016-02-11 | 2017-03-31 |
| Rep | 證券交易 | 2016-02-11 | 2017-03-31 |
已採集記錄中暫無金管局登記。