| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| RIME Capital Limited | RO | 提供資產管理 | 2025-04-30 | - |
| RO | 就證券提供意見 | 2024-12-03 | - | |
| RO | 證券交易 | 2024-12-03 | - | |
| Rep | 就證券提供意見 | 2024-10-25 | 2024-12-03 | |
| Rep | 證券交易 | 2024-10-25 | 2024-12-03 | |
| LOMBARD ODIER (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2023-10-26 | 2024-07-12 |
| Rep | 證券交易 | 2023-10-26 | 2024-07-12 | |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | RO | 就證券提供意見 | 2023-03-09 | 2023-05-07 |
| RO | 證券交易 | 2023-03-09 | 2023-05-07 | |
| Rep | 就證券提供意見 | 2022-11-25 | 2023-03-09 | |
| Rep | 證券交易 | 2022-11-25 | 2023-03-09 | |
| BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | 期貨合約交易 | 2011-09-15 | 2013-10-01 |
| BNP PARIBAS FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2011-01-11 | 2011-12-30 |
| BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | 證券交易 | 2011-01-11 | 2013-10-01 |
已採集記錄中暫無金管局登記。