| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED | RO | 就機構融資提供意見 | 2017-10-19 | - |
| RO | 證券交易 | 2017-10-19 | - | |
| Rep | 就機構融資提供意見 | 2017-07-31 | 2017-10-30 | |
| Rep | 證券交易 | 2017-07-31 | 2017-10-30 | |
| ORIENT CAPITAL (HONG KONG) LIMITED | RO | 就機構融資提供意見 | 2016-08-18 | 2017-06-01 |
| ORIENT SECURITIES (HONG KONG) LIMITED | RO | 就證券提供意見 | 2016-08-18 | 2017-06-01 |
| RO | 證券交易 | 2016-08-18 | 2017-06-01 | |
| ORIENT CAPITAL (HONG KONG) LIMITED | Rep | 就機構融資提供意見 | 2016-07-06 | 2016-08-18 |
| ORIENT SECURITIES (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2016-07-06 | 2016-08-18 |
| Rep | 證券交易 | 2016-07-06 | 2016-08-18 | |
| MIZUHO SECURITIES ASIA LIMITED | RO | 就機構融資提供意見 | 2009-03-03 | 2016-05-24 |
| RO | 就證券提供意見 | 2009-03-03 | 2016-05-24 | |
| RO | 證券交易 | 2009-03-03 | 2016-05-24 | |
| Rep | 就機構融資提供意見 | 2009-01-07 | 2009-03-03 | |
| Rep | 就證券提供意見 | 2009-01-07 | 2009-03-03 | |
| Rep | 證券交易 | 2009-01-07 | 2009-03-03 | |
| DBS ASIA CAPITAL LIMITED | RO | 提供資產管理 | 2003-04-01 | 2005-01-28 |
| RO | 就機構融資提供意見 | 2003-04-01 | 2008-11-14 | |
| RO | 就證券提供意見 | 2003-04-01 | 2008-11-14 | |
| RO | 證券交易 | 2003-04-01 | 2008-11-14 |
已採集記錄中暫無金管局登記。