| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CNI Securities Group Limited | RO | 就證券提供意見 | 2022-07-11 | - |
| RO | 期貨合約交易 | 2022-07-11 | - | |
| CNI Global Assets Management Limited (HK) | RO | 提供資產管理 | 2022-05-04 | - |
| CNI Securities Group Limited | RO | 證券交易 | 2022-05-04 | - |
| CNI GLOBAL CAPITAL LIMITED | RO | 就機構融資提供意見 | 2022-02-10 | - |
| Giant Venture Asset Management Limited | Rep | 提供資產管理 | 2021-04-30 | 2021-07-09 |
| SDHG International Securities Limited | RO | 證券交易 | 2020-11-25 | 2021-01-03 |
| SDHG International Asset Management Limited | RO | 就機構融資提供意見 | 2018-06-13 | 2021-01-03 |
| RO | 就期貨合約提供意見 | 2018-06-13 | 2021-01-03 | |
| RO | 就證券提供意見 | 2018-06-13 | 2021-01-03 | |
| RO | 提供資產管理 | 2018-06-13 | 2021-01-03 | |
| Rep | 就證券提供意見 | 2018-05-02 | 2018-06-13 | |
| Rep | 提供資產管理 | 2018-05-02 | 2018-06-13 | |
| GLENWORTH CAPITAL LIMITED | RO | 就證券提供意見 | 2017-08-18 | 2018-02-01 |
| RO | 提供資產管理 | 2017-08-18 | 2018-02-01 | |
| Finet Securities Limited | RO | 期貨合約交易 | 2017-03-21 | 2017-04-11 |
| SOFTECH INVESTMENT MANAGEMENT COMPANY LIMITED | RO | 就證券提供意見 | 2016-10-13 | 2017-01-16 |
| RO | 提供資產管理 | 2016-10-13 | 2017-01-16 | |
| Arta Asset Management Limited | RO | 就證券提供意見 | 2015-04-02 | 2015-10-01 |
| RO | 證券交易 | 2015-04-02 | 2015-10-01 | |
| RO | 提供資產管理 | 2014-10-24 | 2015-10-01 | |
| Rep | 提供資產管理 | 2014-10-10 | 2014-10-24 | |
| Golden Jade Capital Limited | Rep | 就機構融資提供意見 | 2014-05-29 | 2014-08-29 |
| SKYVAST SECURITIES LIMITED | RO | 期貨合約交易 | 2014-01-27 | 2014-04-18 |
| RO | 證券交易 | 2014-01-27 | 2014-04-18 | |
| SKYVAST ASSET MANAGEMENT LIMITED | RO | 提供資產管理 | 2013-12-06 | 2014-04-18 |
| Rep | 提供資產管理 | 2013-09-30 | 2013-12-06 | |
| SKYVAST SECURITIES LIMITED | Rep | 期貨合約交易 | 2013-09-30 | 2014-01-27 |
| Rep | 證券交易 | 2013-09-30 | 2014-01-27 | |
| ENLIGHTEN FUTURES LIMITED | RO | 期貨合約交易 | 2005-04-22 | 2013-09-02 |
| ENLIGHTEN SECURITIES LIMITED | RO | 證券交易 | 2005-04-22 | 2013-09-02 |
| ENLIGHTEN FUTURES LIMITED | Rep | 期貨合約交易 | 2005-04-01 | 2005-04-22 |
| ENLIGHTEN SECURITIES LIMITED | Rep | 證券交易 | 2005-04-01 | 2005-04-22 |
| CHINA MERCHANTS FUTURES (HK) CO., LIMITED | Rep | 期貨合約交易 | 2005-01-25 | 2005-02-07 |
| CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | 證券交易 | 2005-01-25 | 2005-02-07 |
| REALINK FINANCIAL TRADE LIMITED | RO | 期貨合約交易 | 2004-08-03 | 2004-10-06 |
| RO | 證券交易 | 2004-08-03 | 2004-10-06 | |
| Rep | 證券交易 | 2004-07-23 | 2004-08-03 | |
| EWARTON SECURITIES LIMITED | RO | 證券交易 | 2003-04-01 | 2004-07-15 |
金管局記錄暫時無法載入，請稍後重試。