| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| BARCLAYS CAPITAL ASIA LIMITED | Rep | 期貨合約交易 | 2025-10-02 | - |
| Rep | 證券交易 | 2025-10-02 | - | |
| Jefferies Hong Kong Limited | Rep | 證券交易 | 2018-10-08 | 2025-05-15 |
| Citigroup Global Markets Asia Limited | Rep | 期貨合約交易 | 2016-06-15 | 2018-08-24 |
| Rep | 證券交易 | 2016-06-08 | 2018-08-24 | |
| BARCLAYS CAPITAL ASIA LIMITED | Rep | 證券交易 | 2011-07-08 | 2016-01-21 |
| CICC US Securities (Hong Kong) Limited | RO | 證券交易 | 2011-05-25 | 2011-06-28 |
| CICC US Securities, Inc. | RO | 證券交易 | 2010-09-01 | 2011-06-28 |
| Rep | 證券交易 | 2007-08-06 | 2010-09-01 | |
| CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED | Rep | 證券交易 | 2006-05-22 | 2011-06-28 |
| FOX-PITT, KELTON (ASIA) LIMITED | RO | 就證券提供意見 | 2004-06-11 | 2006-05-13 |
| RO | 證券交易 | 2004-06-11 | 2006-05-13 | |
| Rep | 就機構融資提供意見 | 2003-04-01 | 2003-09-26 | |
| Rep | 提供資產管理 | 2003-04-01 | 2003-09-26 | |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-06-11 | |
| Rep | 證券交易 | 2003-04-01 | 2004-06-11 |
已採集記錄中暫無金管局登記。