| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| uSmart Securities Limited | RO | 就證券提供意見 | 2025-12-10 | - |
| RO | 證券交易 | 2025-12-10 | - | |
| Rep | 提供資產管理 | 2025-06-25 | - | |
| Rep | 就證券提供意見 | 2025-05-07 | 2025-12-10 | |
| Rep | 證券交易 | 2025-05-07 | 2025-12-10 | |
| China Sunrise Securities (International) Limited | RO | 就證券提供意見 | 2024-11-26 | 2025-04-15 |
| RO | 證券交易 | 2024-11-26 | 2025-04-15 | |
| Rep | 就證券提供意見 | 2024-11-06 | 2024-11-26 | |
| Rep | 證券交易 | 2024-11-06 | 2024-11-26 | |
| CINDA INTERNATIONAL CAPITAL LIMITED | RO | 證券交易 | 2022-12-01 | 2024-10-01 |
| Rep | 證券交易 | 2022-09-19 | 2022-12-01 | |
| Chuenman Securities Limited | RO | 就證券提供意見 | 2021-03-02 | 2022-08-24 |
| RO | 證券交易 | 2019-02-11 | 2022-08-24 | |
| ARISTO SECURITIES LIMITED | RO | 證券交易 | 2016-10-11 | 2019-02-08 |
| FIRST SHANGHAI FUTURES LIMITED | Rep | 期貨合約交易 | 2010-04-12 | 2016-10-06 |
| FIRST SHANGHAI SECURITIES LIMITED | Rep | 證券交易 | 2010-04-12 | 2016-10-06 |
| Success Futures and Foreign Exchange Limited | Rep | 期貨合約交易 | 2010-01-25 | 2010-03-21 |
| Success Securities Limited | Rep | 證券交易 | 2010-01-25 | 2010-03-21 |
| Nerico Brothers Limited (HK) | Rep | 期貨合約交易 | 2009-10-09 | 2010-01-08 |
| Rep | 證券交易 | 2009-07-15 | 2010-01-08 |
已採集記錄中暫無金管局登記。