| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| GUOTAI JUNAN FUTURES (HONG KONG) LIMITED | Rep | 就期貨合約提供意見 | 2018-12-11 | - |
| GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2018-12-11 | - |
| GUOTAI JUNAN FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2018-10-19 | - |
| GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2018-10-19 | - |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2010-11-22 | 2018-10-03 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2010-04-15 | 2018-10-03 |
| HAI TONG SECURITIES (HK) BROKERAGE LIMITED | Rep | 證券交易 | 2009-12-01 | 2011-05-03 |
| BTIG Hong Kong Limited | Rep | 證券交易 | 2009-08-03 | 2009-10-30 |
| SG SECURITIES (HK) LIMITED | Rep | 證券交易 | 2007-06-08 | 2009-06-04 |
| DEUTSCHE SECURITIES ASIA LIMITED | Rep | 證券交易 | 2005-10-03 | 2007-04-11 |
| BOCI SECURITIES LIMITED | Rep | 證券交易 | 2004-11-30 | 2005-09-28 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2004-08-10 | 2004-11-29 |
| Asian Pacific Investment Company | Rep | 就證券提供意見 | 2004-07-14 | 2004-08-06 |
| Rep | 證券交易 | 2004-07-14 | 2004-08-06 | |
| UBS SECURITIES HONG KONG LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-03-12 |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-03-12 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-03-12 | |
| Rep | 證券交易 | 2003-04-01 | 2004-03-12 |
已採集記錄中暫無金管局登記。