| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | RO | 就證券提供意見 | 2025-01-02 | - |
| RO | 證券交易 | 2025-01-02 | - | |
| RO | 就機構融資提供意見 | 2025-01-02 | 2025-08-03 | |
| Rep | 就機構融資提供意見 | 2023-03-06 | 2025-01-02 | |
| Rep | 就證券提供意見 | 2023-03-06 | 2025-01-02 | |
| Rep | 證券交易 | 2023-03-06 | 2025-01-02 | |
| HAITONG INTERNATIONAL CAPITAL LIMITED | Rep | 就機構融資提供意見 | 2019-10-21 | 2022-12-02 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 就證券提供意見 | 2019-10-21 | 2022-12-02 |
| Rep | 證券交易 | 2019-10-21 | 2022-12-02 | |
| Privium Fund Management (HK) Limited | Rep | 提供資產管理 | 2018-02-28 | 2019-09-20 |
| CITIC Securities (Hong Kong) Limited | RO | 就機構融資提供意見 | 2017-05-04 | 2017-07-18 |
| RO | 就證券提供意見 | 2017-05-04 | 2017-07-18 | |
| CLSA LIMITED | RO | 就證券提供意見 | 2017-05-04 | 2017-07-18 |
| RO | 證券交易 | 2017-05-04 | 2017-07-18 | |
| CITIC Securities (Hong Kong) Limited | Rep | 就機構融資提供意見 | 2016-08-11 | 2017-05-04 |
| Rep | 就證券提供意見 | 2016-08-11 | 2017-05-04 | |
| CLSA LIMITED | Rep | 就證券提供意見 | 2016-08-11 | 2017-05-04 |
| Rep | 證券交易 | 2016-08-11 | 2017-05-04 | |
| Credit Suisse (Hong Kong) Limited | Rep | 就機構融資提供意見 | 2007-06-01 | 2016-04-23 |
| Rep | 就證券提供意見 | 2007-06-01 | 2016-04-23 | |
| Rep | 證券交易 | 2007-06-01 | 2016-04-23 |
已採集記錄中暫無金管局登記。