| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CMB International Global Markets Limited | Rep | 證券交易 | 2019-07-16 | 2022-02-07 |
| CMB INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2018-08-16 | - |
| CMB International Securities Limited | Rep | 就證券提供意見 | 2018-08-16 | - |
| Rep | 證券交易 | 2018-08-16 | - | |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | 期貨合約交易 | 2014-04-22 | 2018-07-23 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2014-04-22 | 2018-07-23 |
| HALCYON SECURITIES LIMITED | Rep | 期貨合約交易 | 2014-02-25 | 2014-03-28 |
| Rep | 證券交易 | 2014-02-25 | 2014-03-28 | |
| 313 CAPITAL MANAGEMENT LIMITED 313 | Rep | 提供資產管理 | 2013-12-06 | 2014-01-21 |
| SOUTH CHINA COMMODITIES LIMITED | Rep | 期貨合約交易 | 2013-09-05 | 2014-01-21 |
| SOUTH CHINA SECURITIES LIMITED | Rep | 證券交易 | 2013-09-05 | 2014-01-21 |
| CELESTIAL COMMODITIES LIMITED | Rep | 期貨合約交易 | 2011-11-07 | 2013-07-13 |
| CELESTIAL SECURITIES LIMITED | Rep | 證券交易 | 2010-11-25 | 2013-07-13 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2008-03-20 | 2010-10-22 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2008-03-20 | 2010-10-22 |
已採集記錄中暫無金管局登記。