| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Harmonia Capital Limited | RO | 就證券提供意見 | 2019-12-09 | - |
| RO | 提供資產管理 | 2019-12-09 | - | |
| RO | 證券交易 | 2019-12-09 | - | |
| iBest Consultants Limited | RO | 就證券提供意見 | 2018-08-22 | 2019-01-15 |
| RO | 提供資產管理 | 2018-08-22 | 2019-01-15 | |
| RO | 證券交易 | 2018-08-22 | 2019-01-15 | |
| iBest Investment Services Limited | Rep | 槓桿式外匯交易 | 2018-01-09 | 2019-01-25 |
| iBest Consultants Limited | Rep | 就證券提供意見 | 2017-08-30 | 2018-08-22 |
| Rep | 證券交易 | 2017-08-30 | 2018-08-22 | |
| Rep | 提供資產管理 | 2015-11-13 | 2018-08-22 | |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | 就期貨合約提供意見 | 2012-07-13 | 2019-06-27 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 就證券提供意見 | 2012-07-13 | 2019-06-27 |
| HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED | Rep | 提供資產管理 | 2012-05-18 | 2015-11-06 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 槓桿式外匯交易 | 2010-07-05 | 2019-06-27 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2008-05-02 | 2019-12-03 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2008-02-29 | 2019-12-03 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 證券交易 | 2007-08-20 | 2008-02-15 |
已採集記錄中暫無金管局登記。