| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Complus Asset Management Limited | RO | 就證券提供意見 | 2023-03-30 | - |
| RO | 證券交易 | 2023-03-30 | - | |
| RO | 提供資產管理 | 2022-12-09 | - | |
| Rep | 提供資產管理 | 2021-10-20 | 2022-12-09 | |
| Harmony Advisors Limited | RO | 就證券提供意見 | 2020-04-20 | 2021-09-28 |
| RO | 提供資產管理 | 2020-04-20 | 2021-09-28 | |
| RO | 證券交易 | 2020-04-20 | 2021-09-28 | |
| Rep | 就證券提供意見 | 2020-03-24 | 2020-04-20 | |
| Rep | 提供資產管理 | 2020-03-24 | 2020-04-20 | |
| Rep | 證券交易 | 2020-03-24 | 2020-04-20 | |
| CHINA RAILWAY & AVIATION SECURITIES LIMITED | RO | 就證券提供意見 | 2019-01-29 | 2020-02-29 |
| RO | 提供資產管理 | 2019-01-29 | 2020-02-29 | |
| RO | 證券交易 | 2019-01-29 | 2020-02-29 | |
| ROYAL MORGAN FUND MANAGEMENT CO. LIMITED | RO | 就證券提供意見 | 2018-02-05 | 2018-07-03 |
| RO | 提供資產管理 | 2018-02-05 | 2018-07-03 | |
| RO | 證券交易 | 2018-02-05 | 2018-07-03 | |
| Rep | 就證券提供意見 | 2017-12-07 | 2018-02-05 | |
| Rep | 提供資產管理 | 2017-12-07 | 2018-02-05 | |
| Rep | 證券交易 | 2017-12-07 | 2018-02-05 | |
| CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED | Rep | 期貨合約交易 | 2012-09-25 | 2017-06-07 |
| CHINA EVERBRIGHT SECURITIES (HK) LIMITED | RO | 證券交易 | 2011-10-18 | 2017-06-07 |
| Rep | 證券交易 | 2011-06-09 | 2011-10-18 | |
| MIZUHO SECURITIES ASIA LIMITED | Rep | 就證券提供意見 | 2009-09-11 | 2011-03-01 |
| Rep | 證券交易 | 2009-08-10 | 2011-03-01 | |
| NOMURA SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2008-04-11 | 2009-04-30 |
| Nomura Asia Investment (Hong Kong) Limited | Rep | 就期貨合約提供意見 | 2003-04-01 | 2004-11-24 |
| Rep | 提供資產管理 | 2003-04-01 | 2004-11-24 | |
| Rep | 期貨合約交易 | 2003-04-01 | 2009-04-30 | |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-11-24 |
| Rep | 就期貨合約提供意見 | 2003-04-01 | 2004-11-24 | |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-11-24 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-11-24 | |
| Rep | 期貨合約交易 | 2003-04-01 | 2009-04-30 | |
| Rep | 證券交易 | 2003-04-01 | 2009-04-30 |
已採集記錄中暫無金管局登記。