| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2023-03-15 | - |
| Rep | 證券交易 | 2023-03-15 | - | |
| RO | 就證券提供意見 | 2022-07-29 | 2023-03-15 | |
| RO | 證券交易 | 2022-07-29 | 2023-03-15 | |
| GUOTAI JUNAN FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2018-10-05 | - |
| GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2018-10-05 | 2022-07-29 |
| Rep | 證券交易 | 2018-10-05 | 2022-07-29 | |
| CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | 期貨合約交易 | 2017-09-20 | 2018-07-20 |
| CHINA MERCHANTS FUTURES (HK) CO., LIMITED | Rep | 期貨合約交易 | 2016-12-08 | 2018-07-20 |
| CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | 就證券提供意見 | 2016-12-08 | 2018-07-20 |
| Rep | 證券交易 | 2016-12-08 | 2018-07-20 | |
| BOCI SECURITIES LIMITED | Rep | 就證券提供意見 | 2015-04-24 | 2016-11-22 |
| Rep | 期貨合約交易 | 2015-04-24 | 2016-11-22 | |
| Rep | 證券交易 | 2015-04-24 | 2016-11-22 | |
| Daiwa Capital Markets Hong Kong Limited | Rep | 證券交易 | 2010-11-20 | 2015-01-12 |
| DAIWA CAPITAL MARKETS TRADING HONG KONG LIMITED | Rep | 證券交易 | 2006-05-08 | 2015-01-12 |
| KBC FINANCIAL PRODUCTS HONG KONG LIMITED | Rep | 證券交易 | 2006-05-08 | 2010-11-20 |
| CES Commodities (HK) Limited | Rep | 就期貨合約提供意見 | 2003-04-01 | 2004-01-09 |
| Rep | 提供資產管理 | 2003-04-01 | 2004-01-09 | |
| Rep | 期貨合約交易 | 2003-04-01 | 2006-04-19 | |
| Everbright Securities Investment Services (HK) Limited | Rep | 提供自動化交易服務 | 2003-04-01 | 2003-07-07 |
| Rep | 就機構融資提供意見 | 2003-04-01 | 2004-01-09 | |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-01-09 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-01-09 | |
| Rep | 證券交易 | 2003-04-01 | 2006-04-19 |
已採集記錄中暫無金管局登記。