| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| VMS Securities Limited | Rep | 證券交易 | 2026-03-16 | - |
| VMS Asset Management Limited | Rep | 就證券提供意見 | 2026-03-11 | - |
| Rep | 提供資產管理 | 2026-03-11 | - | |
| Octiv Capital Limited | RO | 就證券提供意見 | 2024-11-01 | 2026-01-31 |
| RO | 提供資產管理 | 2024-11-01 | 2026-01-31 | |
| BASE ASSET MANAGEMENT LTD | Rep | 就證券提供意見 | 2024-05-06 | 2024-10-31 |
| Rep | 提供資產管理 | 2024-05-06 | 2024-10-31 | |
| VAN BERKOM GOLDEN DRAGON LIMITED | RO | 提供資產管理 | 2023-07-25 | 2023-12-14 |
| Rep | 提供資產管理 | 2023-07-14 | 2023-07-25 | |
| Magpie Securities Limited (HK) | RO | 提供資產管理 | 2022-04-29 | 2022-06-30 |
| RO | 就證券提供意見 | 2021-10-20 | 2022-06-30 | |
| RO | 證券交易 | 2021-10-20 | 2022-06-30 | |
| Rep | 就證券提供意見 | 2021-09-03 | 2021-10-20 | |
| Rep | 證券交易 | 2021-09-03 | 2021-10-20 | |
| CHINA EVERBRIGHT SECURITIES (HK) LIMITED | RO | 就證券提供意見 | 2018-12-06 | 2021-06-25 |
| RO | 證券交易 | 2018-12-06 | 2021-06-25 | |
| Everbright Securities Investment Services (HK) Limited | RO | 就證券提供意見 | 2018-12-06 | 2021-06-25 |
| RO | 證券交易 | 2018-12-06 | 2021-06-25 | |
| CHINA EVERBRIGHT SECURITIES (HK) LIMITED | Rep | 就證券提供意見 | 2018-10-11 | 2018-12-06 |
| Rep | 證券交易 | 2018-10-11 | 2018-12-06 | |
| Everbright Securities Investment Services (HK) Limited | Rep | 就證券提供意見 | 2018-10-11 | 2018-12-06 |
| Rep | 證券交易 | 2018-10-11 | 2018-12-06 | |
| KGI ASIA LIMITED | RO | 就證券提供意見 | 2018-01-17 | 2018-09-03 |
| RO | 證券交易 | 2018-01-17 | 2018-09-03 | |
| Rep | 就證券提供意見 | 2017-10-03 | 2018-01-17 | |
| Rep | 證券交易 | 2017-10-03 | 2018-01-17 | |
| Rep | 就證券提供意見 | 2017-07-17 | 2017-10-02 | |
| Rep | 證券交易 | 2017-07-17 | 2017-10-02 | |
| Crosby Securities Limited | RO | 就證券提供意見 | 2015-09-18 | 2017-06-30 |
| RO | 證券交易 | 2015-09-18 | 2017-06-30 | |
| Rep | 就證券提供意見 | 2015-08-26 | 2015-09-18 | |
| Rep | 證券交易 | 2015-08-26 | 2015-09-18 | |
| Guosen Securities (HK) Brokerage Company, Limited | Rep | 就證券提供意見 | 2014-01-24 | 2015-07-23 |
| Rep | 期貨合約交易 | 2014-01-24 | 2015-07-23 | |
| Rep | 證券交易 | 2014-01-24 | 2015-07-23 | |
| CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED | Rep | 期貨合約交易 | 2012-08-28 | 2013-12-27 |
| CHINA EVERBRIGHT SECURITIES (HK) LIMITED | Rep | 證券交易 | 2011-05-18 | 2013-12-27 |
| MIZUHO SECURITIES ASIA LIMITED | Rep | 證券交易 | 2009-12-09 | 2011-02-28 |
| Rep | 就證券提供意見 | 2009-12-04 | 2011-02-28 | |
| RICHLAND CAPITAL MANAGEMENT LIMITED | Rep | 就證券提供意見 | 2009-10-02 | 2009-11-23 |
| Rep | 提供資產管理 | 2009-10-02 | 2009-11-23 | |
| NOMURA SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2008-04-11 | 2009-04-30 |
| Nomura Asia Investment (Hong Kong) Limited | Rep | 期貨合約交易 | 2007-11-05 | 2009-04-30 |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2007-11-05 | 2009-04-30 |
| Rep | 證券交易 | 2007-11-05 | 2009-04-30 | |
| CLSA FUTURES LIMITED | Rep | 期貨合約交易 | 2007-02-14 | 2007-10-03 |
| CLSA LIMITED | Rep | 證券交易 | 2007-02-14 | 2007-10-03 |
已採集記錄中暫無金管局登記。