| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CATHAY SECURITIES (HONG KONG) LIMITED | RO | 就證券提供意見 | 2019-03-06 | - |
| RO | 證券交易 | 2018-10-15 | - | |
| Rep | 就證券提供意見 | 2018-08-31 | 2019-03-06 | |
| Rep | 證券交易 | 2018-07-26 | 2018-10-15 | |
| SBI E2-Capital Securities Limited | RO | 期貨合約交易 | 2017-02-21 | 2018-07-15 |
| RO | 證券交易 | 2017-02-21 | 2018-07-15 | |
| Forwin Futures Group Limited | RO | 期貨合約交易 | 2016-09-22 | 2017-01-31 |
| Forwin Securities Group Limited | RO | 證券交易 | 2016-03-11 | 2017-01-31 |
| Rep | 證券交易 | 2015-12-07 | 2016-03-11 | |
| SDIC SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2011-11-17 | 2015-11-13 |
| SDIC SECURITIES FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2011-11-17 | 2015-11-13 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2010-04-13 | 2011-10-29 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2010-04-13 | 2011-10-29 |
| HAI TONG SECURITIES (HK) BROKERAGE LIMITED | Rep | 期貨合約交易 | 2008-10-22 | 2011-05-03 |
| Rep | 證券交易 | 2008-10-22 | 2011-05-03 | |
| Beevest Securities Limited | Rep | 期貨合約交易 | 2007-07-12 | 2008-10-20 |
| Rep | 就機構融資提供意見 | 2003-04-01 | 2004-02-18 | |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-02-18 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-02-18 | |
| Rep | 證券交易 | 2003-04-01 | 2008-10-20 |
已採集記錄中暫無金管局登記。