| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| FIRST SECURITIES (HK) LIMITED | RO | 就證券提供意見 | 2026-08-04 | - |
| CAPITAL GLOBAL MANAGEMENT LIMITED | RO | 就證券提供意見 | 2023-07-11 | - |
| RO | 證券交易 | 2023-07-11 | - | |
| Rep | 提供資產管理 | 2023-06-21 | - | |
| Rep | 就證券提供意見 | 2023-06-21 | 2023-07-11 | |
| Rep | 證券交易 | 2023-06-21 | 2023-07-11 | |
| SBI E2-Capital Securities Limited | RO | 證券交易 | 2021-09-16 | 2023-05-30 |
| Rep | 證券交易 | 2021-03-15 | 2021-09-16 | |
| RO | 提供資產管理 | 2021-03-15 | 2023-01-09 | |
| RO | 就證券提供意見 | 2021-03-15 | 2023-05-30 | |
| SBI China Capital Financial Services Limited | Rep | 證券交易 | 2010-01-05 | 2021-02-28 |
| SBI China Capital Securities Limited | Rep | 證券交易 | 2010-01-05 | 2011-09-30 |
| SBI China Capital Financial Services Limited | RO | 就證券提供意見 | 2008-12-16 | 2021-02-28 |
| Rep | 就證券提供意見 | 2008-10-21 | 2008-12-16 | |
| SBI China Capital Securities Limited | RO | 就證券提供意見 | 2008-10-21 | 2011-09-30 |
| Rep | 就證券提供意見 | 2008-04-25 | 2008-10-21 | |
| RO | 就證券提供意見 | 2007-09-25 | 2008-04-25 | |
| Rep | 就證券提供意見 | 2006-06-15 | 2007-09-25 | |
| HAITONG INTERNATIONAL RESEARCH LIMITED | Rep | 就證券提供意見 | 2005-01-08 | 2006-06-05 |
已採集記錄中暫無金管局登記。