| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CMB International Securities Limited | RO | 就證券提供意見 | 2023-03-16 | - |
| RO | 證券交易 | 2023-03-16 | - | |
| CMB International Global Markets Limited | RO | 就證券提供意見 | 2022-03-30 | - |
| RO | 證券交易 | 2022-03-30 | - | |
| Rep | 就證券提供意見 | 2022-03-04 | 2022-03-30 | |
| Rep | 證券交易 | 2022-03-04 | 2022-03-30 | |
| CCB INTERNATIONAL SECURITIES LIMITED | RO | 就證券提供意見 | 2012-01-03 | 2022-02-04 |
| RO | 證券交易 | 2012-01-03 | 2022-02-04 | |
| Rep | 就證券提供意見 | 2011-01-19 | 2012-01-03 | |
| Rep | 證券交易 | 2011-01-19 | 2012-01-03 | |
| Vicis Capital (Hong Kong) Limited | Rep | 就期貨合約提供意見 | 2008-12-19 | 2010-02-12 |
| Rep | 就證券提供意見 | 2008-12-19 | 2010-02-12 | |
| Rep | 提供資產管理 | 2008-12-19 | 2010-02-12 | |
| Rep | 期貨合約交易 | 2008-12-19 | 2010-02-12 | |
| Rep | 證券交易 | 2008-12-19 | 2010-02-12 | |
| Nomura Asia Investment (Hong Kong) Limited | Rep | 期貨合約交易 | 2006-08-11 | 2007-08-11 |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2006-08-11 | 2007-08-11 |
| Rep | 證券交易 | 2006-06-12 | 2007-08-11 | |
| DAIWA CAPITAL MARKETS TRADING HONG KONG LIMITED | Rep | 證券交易 | 2005-10-17 | 2006-03-07 |
| KBC FINANCIAL PRODUCTS HONG KONG LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2003-08-07 |
| Rep | 就證券提供意見 | 2003-04-01 | 2003-08-07 | |
| Rep | 提供資產管理 | 2003-04-01 | 2003-08-07 | |
| Rep | 證券交易 | 2003-04-01 | 2006-03-07 |
已採集記錄中暫無金管局登記。