| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| RiverCircle Investments Limited | RO | 就證券提供意見 | 2021-05-06 | - |
| RO | 提供資產管理 | 2021-05-06 | - | |
| SBI China Capital Asset Management Limited | RO | 就證券提供意見 | 2019-09-27 | 2021-04-23 |
| Rep | 提供資產管理 | 2019-09-27 | 2021-04-23 | |
| SBI China Capital Financial Services Limited | RO | 證券交易 | 2019-09-27 | 2021-04-23 |
| Rep | 證券交易 | 2019-05-24 | 2019-09-27 | |
| Fosun International Securities Limited | Rep | 就機構融資提供意見 | 2018-08-13 | 2019-05-19 |
| Rep | 證券交易 | 2018-06-25 | 2019-05-19 | |
| UOB KAY HIAN (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2018-02-08 | 2018-06-07 |
| Rep | 證券交易 | 2018-02-08 | 2018-06-07 | |
| RO | 就證券提供意見 | 2017-09-08 | 2018-02-08 | |
| RO | 證券交易 | 2017-09-08 | 2018-02-08 | |
| Rep | 就證券提供意見 | 2015-12-07 | 2017-09-08 | |
| Rep | 證券交易 | 2015-12-07 | 2017-09-08 | |
| ORIENTAL PATRON SECURITIES LIMITED | RO | 就證券提供意見 | 2015-02-25 | 2015-11-29 |
| RO | 證券交易 | 2015-02-25 | 2015-11-29 | |
| Rep | 證券交易 | 2013-11-28 | 2015-02-25 | |
| CCB INTERNATIONAL SECURITIES LIMITED | Rep | 證券交易 | 2010-10-20 | 2013-10-29 |
| UOB KAY HIAN (HONG KONG) LIMITED | Rep | 證券交易 | 2009-04-02 | 2010-08-24 |
| MACQUARIE CAPITAL LIMITED | Rep | 證券交易 | 2007-05-28 | 2008-10-16 |
已採集記錄中暫無金管局登記。