| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Constance Capital Limited (HK) | RO | 就證券提供意見 | 2024-11-06 | - |
| RO | 提供資產管理 | 2024-11-06 | - | |
| RO | 證券交易 | 2024-11-06 | - | |
| Chinagri Cheung Kong Company Limited | RO | 就證券提供意見 | 2023-11-16 | 2024-10-02 |
| RO | 提供資產管理 | 2023-11-16 | 2024-10-02 | |
| Advent Securities (Hong Kong) Limited | Rep | 證券交易 | 2023-05-09 | 2023-05-17 |
| Nerico Brothers Limited (HK) | RO | 期貨合約交易 | 2013-10-10 | 2023-03-29 |
| RO | 證券交易 | 2008-05-27 | 2023-03-29 | |
| Rep | 槓桿式外匯交易 | 2008-03-13 | 2023-03-29 | |
| Rep | 證券交易 | 2007-06-27 | 2008-05-27 | |
| Rep | 期貨合約交易 | 2007-06-27 | 2013-10-10 | |
| CHINA MERCHANTS FUTURES (HK) CO., LIMITED | Rep | 就期貨合約提供意見 | 2003-04-01 | 2004-05-05 |
| Rep | 提供資產管理 | 2003-04-01 | 2004-05-05 | |
| Rep | 提供自動化交易服務 | 2003-04-01 | 2004-05-05 | |
| Rep | 期貨合約交易 | 2003-04-01 | 2007-06-20 | |
| CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-05-05 |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-05-05 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-05-05 | |
| Rep | 提供自動化交易服務 | 2003-04-01 | 2004-05-05 | |
| Rep | 證券交易 | 2003-04-01 | 2007-06-20 |
已採集記錄中暫無金管局登記。