| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Augment Wealth Advisors Limited | RO | 就期貨合約提供意見 | 2021-01-13 | - |
| RO | 就證券提供意見 | 2021-01-13 | - | |
| RO | 提供資產管理 | 2021-01-13 | - | |
| RO | 期貨合約交易 | 2021-01-13 | 2022-12-13 | |
| RO | 證券交易 | 2021-01-13 | 2022-12-13 | |
| MILLENNIUM CAPITAL MANAGEMENT (HONG KONG) LIMITED | Rep | 提供資產管理 | 2017-12-05 | 2019-12-31 |
| Pharo Management (HK) Limited | RO | 提供資產管理 | 2015-05-18 | 2017-09-22 |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 證券交易 | 2008-05-22 | 2015-02-11 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2008-05-22 | 2015-02-11 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 證券交易 | 2007-06-07 | 2008-02-23 |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2007-06-07 | 2008-02-23 |
已採集記錄中暫無金管局登記。