| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SoFi Securities (Hong Kong) Limited | RO | 就證券提供意見 | 2020-07-10 | - |
| RO | 證券交易 | 2020-07-10 | - | |
| Rep | 證券交易 | 2020-05-18 | 2020-07-10 | |
| Differ Financial and Securities Limited | RO | 證券交易 | 2019-09-11 | 2020-04-30 |
| Rep | 證券交易 | 2019-08-01 | 2019-09-11 | |
| Hong Kong Stock Link Securities Limited | RO | 證券交易 | 2019-02-20 | 2019-07-31 |
| Rep | 證券交易 | 2019-01-02 | 2019-02-20 | |
| SoFi Securities (Hong Kong) Limited | RO | 就證券提供意見 | 2018-05-31 | 2018-12-31 |
| RO | 證券交易 | 2018-03-15 | 2018-12-31 | |
| Rep | 證券交易 | 2017-12-11 | 2018-03-15 | |
| CHINA INDUSTRIAL SECURITIES INTERNATIONAL BROKERAGE LIMITED | Rep | 證券交易 | 2016-11-03 | 2017-11-30 |
| CHINA INDUSTRIAL SECURITIES INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2016-11-03 | 2017-11-30 |
| BOCOM International Securities Limited | Rep | 就證券提供意見 | 2013-07-05 | 2016-10-24 |
| Rep | 期貨合約交易 | 2013-07-05 | 2016-10-24 | |
| Rep | 證券交易 | 2013-07-05 | 2016-10-24 | |
| DELTA ASIA FINANCIAL FUTURES LIMITED | Rep | 就期貨合約提供意見 | 2013-03-26 | 2013-06-30 |
| DELTA ASIA SECURITIES LIMITED | Rep | 就證券提供意見 | 2013-03-26 | 2013-06-30 |
| Delta Asia Wealth Management Limited | Rep | 提供資產管理 | 2013-03-26 | 2013-06-30 |
| DELTA ASIA FINANCIAL FUTURES LIMITED | Rep | 期貨合約交易 | 2013-01-28 | 2013-06-30 |
| DELTA ASIA SECURITIES LIMITED | Rep | 證券交易 | 2013-01-28 | 2013-06-30 |
| Ark Securities (Hong Kong) Limited | Rep | 證券交易 | 2008-11-26 | 2013-01-11 |
| PROVIDENT FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2008-11-26 | 2013-01-11 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2008-09-11 | 2008-10-28 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2008-09-11 | 2008-10-28 |
| CES Commodities (HK) Limited | Rep | 期貨合約交易 | 2008-01-18 | 2008-08-30 |
| Everbright Securities Investment Services (HK) Limited | Rep | 證券交易 | 2007-07-06 | 2008-08-30 |
已採集記錄中暫無金管局登記。