| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Annum Asset Management (Hong Kong) Limited | Rep | 就證券提供意見 | 2023-08-07 | - |
| Rep | 提供資產管理 | 2023-08-07 | - | |
| Rep | 證券交易 | 2023-08-07 | - | |
| YAU WAI INTERNATIONAL ASSET MANAGEMENT COMPANY LIMITED | Rep | 就證券提供意見 | 2021-08-13 | 2021-12-13 |
| Rep | 提供資產管理 | 2021-08-13 | 2021-12-13 | |
| Rep | 證券交易 | 2021-08-13 | 2021-12-13 | |
| BIL Wealth Management Limited | Rep | 提供資產管理 | 2020-03-17 | 2020-09-21 |
| Rep | 就證券提供意見 | 2019-10-03 | 2020-09-21 | |
| Rep | 證券交易 | 2019-10-03 | 2020-09-21 | |
| ROTHSCHILD & CO WEALTH MANAGEMENT HONG KONG LIMITED | RO | 就證券提供意見 | 2018-10-24 | 2019-06-11 |
| RO | 證券交易 | 2018-10-24 | 2019-06-11 | |
| Rep | 就證券提供意見 | 2018-04-06 | 2018-10-24 | |
| Rep | 證券交易 | 2018-04-06 | 2018-10-24 | |
| BSI Investment Advisors (Hong Kong) Limited | Rep | 就證券提供意見 | 2011-05-17 | 2013-07-23 |
| Rep | 提供資產管理 | 2011-05-17 | 2014-01-31 | |
| Rep | 證券交易 | 2011-05-17 | 2014-01-31 | |
| CHARLES SCHWAB, HONG KONG, LIMITED | Rep | 就期貨合約提供意見 | 2007-10-02 | 2010-09-28 |
| Rep | 就證券提供意見 | 2007-10-02 | 2010-09-28 | |
| Rep | 證券交易 | 2007-10-02 | 2010-09-28 | |
| MIS SERVICES LIMITED (d2019-06-01) | Rep | 提供資產管理 | 2003-04-01 | 2005-04-18 |
已採集記錄中暫無金管局登記。