| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Sunrise Asset Management Limited | RO | 就證券提供意見 | 2025-08-15 | - |
| RO | 提供資產管理 | 2025-08-15 | - | |
| Advent Securities (Hong Kong) Limited | RO | 證券交易 | 2024-02-02 | 2024-07-08 |
| ROUNDHOUSE PARTNERS LTD | RO | 就證券提供意見 | 2024-02-02 | 2024-07-08 |
| RO | 提供資產管理 | 2024-02-02 | 2024-07-08 | |
| CARLYON ASSET MANAGEMENT LIMITED | RO | 就證券提供意見 | 2022-10-13 | 2024-01-28 |
| RO | 提供資產管理 | 2022-08-26 | 2024-01-28 | |
| CARLYON SECURITIES LIMITED | RO | 證券交易 | 2022-08-26 | 2024-01-28 |
| Black Marble Securities Limited | RO | 證券交易 | 2016-05-04 | 2021-02-26 |
| Tiger Securities Asset Management Company Limited | Rep | 提供資產管理 | 2014-12-17 | 2015-05-19 |
| OP INVESTMENT MANAGEMENT LIMITED | Rep | 提供資產管理 | 2013-10-15 | 2014-08-12 |
| CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | 期貨合約交易 | 2008-12-03 | 2013-09-17 |
| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | 證券交易 | 2008-11-11 | 2013-09-17 |
| CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2008-11-11 | 2013-09-17 |
| CCB INTERNATIONAL SECURITIES LIMITED | Rep | 證券交易 | 2007-11-15 | 2008-07-31 |
| ABCI Securities Company Limited | Rep | 證券交易 | 2007-01-15 | 2007-11-01 |
| DBS VICKERS (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2006-05-12 | 2006-12-21 |
| Rep | 證券交易 | 2006-05-12 | 2006-12-21 | |
| SBI China Capital Commodities Limited | RO | 就期貨合約提供意見 | 2005-08-08 | 2006-05-03 |
| RO | 提供資產管理 | 2005-08-08 | 2006-05-03 | |
| RO | 期貨合約交易 | 2005-08-08 | 2006-05-03 | |
| SBI China Capital Financial Services Limited | RO | 證券交易 | 2005-08-08 | 2006-05-03 |
| SBI China Capital Securities Limited | RO | 就證券提供意見 | 2005-08-08 | 2006-05-03 |
| RO | 提供資產管理 | 2005-08-08 | 2006-05-03 | |
| RO | 證券交易 | 2005-08-08 | 2006-05-03 | |
| SBI China Capital Commodities Limited | Rep | 就期貨合約提供意見 | 2003-04-01 | 2003-07-25 |
| Rep | 提供資產管理 | 2003-04-01 | 2005-08-08 | |
| Rep | 期貨合約交易 | 2003-04-01 | 2005-08-08 | |
| SBI China Capital Financial Services Limited | Rep | 就機構融資提供意見 | 2003-04-01 | 2003-07-25 |
| Rep | 就證券提供意見 | 2003-04-01 | 2003-07-25 | |
| Rep | 提供資產管理 | 2003-04-01 | 2005-02-23 | |
| Rep | 證券交易 | 2003-04-01 | 2005-08-08 | |
| SBI China Capital Securities Limited | Rep | 就機構融資提供意見 | 2003-04-01 | 2003-07-25 |
| Rep | 就證券提供意見 | 2003-04-01 | 2003-07-25 | |
| Rep | 提供資產管理 | 2003-04-01 | 2005-08-08 | |
| Rep | 證券交易 | 2003-04-01 | 2005-08-08 |
已採集記錄中暫無金管局登記。