| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED | RO | 就證券提供意見 | 2023-09-28 | - |
| SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED | Rep | 就機構融資提供意見 | 2021-10-27 | 2023-10-04 |
| Rep | 就證券提供意見 | 2021-08-20 | 2023-10-04 | |
| Rep | 證券交易 | 2021-08-20 | 2023-10-04 | |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2021-08-20 | - |
| JOINCAP CAPITAL LIMITED | RO | 就證券提供意見 | 2020-08-25 | 2021-07-29 |
| RO | 提供資產管理 | 2020-08-25 | 2021-07-29 | |
| Grit Securities Limited | Rep | 證券交易 | 2018-10-25 | 2021-07-29 |
| JOINCAP CAPITAL LIMITED | Rep | 就證券提供意見 | 2018-10-25 | 2020-08-25 |
| Rep | 提供資產管理 | 2018-10-25 | 2020-08-25 | |
| CLSA LIMITED | Rep | 就證券提供意見 | 2014-12-30 | 2017-05-27 |
| CITIC Securities (Hong Kong) Limited | Rep | 就機構融資提供意見 | 2013-11-01 | 2017-05-27 |
| Rep | 就證券提供意見 | 2013-11-01 | 2017-05-27 | |
| CLSA LIMITED | Rep | 證券交易 | 2013-11-01 | 2017-05-27 |
| CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED | Rep | 就機構融資提供意見 | 2010-12-20 | 2013-10-31 |
| Rep | 就證券提供意見 | 2010-12-20 | 2013-10-31 | |
| Rep | 證券交易 | 2010-12-20 | 2013-10-31 |
已採集記錄中暫無金管局登記。