| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Raising International Securities Limited | RO | 就證券提供意見 | 2023-02-20 | - |
| RO | 提供資產管理 | 2023-02-20 | - | |
| RO | 證券交易 | 2023-02-20 | - | |
| ROUNDHOUSE PARTNERS LTD | RO | 就證券提供意見 | 2020-03-11 | 2022-04-30 |
| RO | 提供資產管理 | 2020-03-11 | 2022-04-30 | |
| Advent Securities (Hong Kong) Limited | RO | 證券交易 | 2018-11-08 | 2022-04-30 |
| Rep | 證券交易 | 2018-07-26 | 2018-11-08 | |
| FULBRIGHT SECURITIES LIMITED | Rep | 證券交易 | 2009-01-20 | 2018-07-23 |
| SINO-RICH SECURITIES & FUTURES LIMITED | Rep | 證券交易 | 2008-03-27 | 2009-01-14 |
| SOUTH CHINA SECURITIES LIMITED | Rep | 證券交易 | 2007-06-25 | 2008-03-17 |
| SINO-RICH SECURITIES & FUTURES LIMITED | Rep | 證券交易 | 2007-05-29 | 2007-06-11 |
已採集記錄中暫無金管局登記。